Transaction Info

This section is only required for any account with a transaction
Information entered on the transaction page will be automatically added to your required compliance transaction blotter.
Product Sponsor Forms selected in this section will be added to the LaserApp Bundle.

TRANSACTION INFO
Investment Type	Choose one investment type from the drop down menu.
Product Sponsor	Type in the name of the product sponsor. If the product sponsor has setup their forms in the LaserApp library, you will be able to select their name from the list. Selecting their name will display a list of the sponsor's forms available in that company’s LaserApp Library. Check the names of each the forms that you want to add to the forms bundle for data population. The forms will automatically download and load when you choose "Generate Paperwork" on the Paperwork page. This also adds a spot on the paperwork page to upload the signed customer copy. Note: Each Product Sponsor controls their LaserApp forms library. If a form is missing or an outdated version of the form exists in LaserApp, it is because that product sponsor has not yet added or updated the form at LaserApp. We do not have the ability to change or add forms to a product sponsor's LaserApp library. If something is missing, we can notify LaserApp and the sponsor company, but only that product company can make changes.
Product Company	Enter the name of the product
Solicited/Non-Solicited	Choose Solicited or Unsolicited using the drop down menu.
Transaction Type	Choose Buy, Sell, Exchange, Reregistration or Not Applicable using the drop down menu..
Trade Date	Enter the trade date.
Transaction Amount	Provide the name of the participant. For example: in the Entity Name, you provide: The United Farm Workers 401(k) Plan. In the FBO field, you provide Mary J. Smith.Enter the transaction amount
Transaction Comments	Enter any transaction comments.
Add Additional Product	If you need to generate paperwork for more than one product, use the "Add Additional Product" button to add another product. This will add a second tab and a second transaction form for your submission. This can be used to select another investment type and product sponsor.