Broker Position

The Broker Position screen manages and maintains access person’s broker position information. Click the Broker Position in the left navigation menu under Access Person and a new Broker Position Tab folder will be created in the right panel. There are 3 sub-Tab folders: Search Broker Position, Search Result Broker Position and Create New Broker Position.

Broker Position search screen

Search Broker Position

Search Criteria

Field Name Description
Broker Posi Id The unique system generated number.
Access Person The access person that account belongs to.
Broker Account The account number.
Symbol The symbol of the security.
Security Name The name of the security.
Org Unit Code The org unit this Broker Position belongs to.
CreatedByDate Date and Time when this entry was created.
CreatedByUser User who created this entry.
ModifiedByDate Last modified date and time.
ModifiedByUser Last modified user.
AND Select AND radio box if you want those criteria added together.
OR Select OR radio box if you want to get the result if either of the criteria is met.

Functional buttons

  • Find: – click the Find button to search.
  • Clear:– click the Clear button to clear all the criteria.

Search Result Broker Position

Broker position search result screen

The top part is the table which shows the list of the Broker Position that meet the search criteria. The bottom part is the details of the selected entry.

Update/Delete Broker Position

Double Click the selected record in the table to modify this entry. A new tab folder “Update/Delete Broker Position” will be added, as shown below.

Broker Position update/delete screen

Functional buttons

  • Update: – Make changes on the Broker Position and save and switch back to the “Search result Broker Position” Tab. Some of the fields in this form are read only, like broker position Id, created/modified user and date.
  • Reset:– Reset the data to its initial value and discard all the changes.
  • Cancel:– Cancel this change and switch back to the “Search result Broker Position” Tab.
  • Delete:– Delete this entry; then switch back to the “Search result Broker Position” Tab.

Create New Broker Position

Select the “Create New Broker Position” Tab to create a new entry.

Broker Position create new screen
Field Name Description
Access Person The access person that account belongs to.
Broker Account The account number.
Symbol The symbol of the security.
Security Name The name of the security.
Number of Share The number of share access person holds.
AsofDate last update on the position.

Functional buttons

  • Create: – Click the Create button to create a new Broker Position entry and switch to the “Search result Broker Position” Tab. Access person, broker account, symbol, number of share and as-of-date are mandatory fields; if any of them is empty, an error message will show.
  • Clear:– Click the Clear button to clear all the fields.
  • Cancel:– Click the Cancel button to cancel operation and switch back to “Search result Broker Position” Tab.