Last update: 8/14/2024
(Other transcription specs attached under ‘Exercise Files’ tab)
| Russell US New and Existing | |
| Field | Instruction |
| Type | Choose Normal – New if meeting is not yet in the system Choose Normal – Existing if meeting is already in the system |
| Special Instructions | Instructions from the WS if there are any |
| Internal Comments | Place instructions/observations for the team |
| Date & Time | As specified by WS, otherwise default is the day we received the recording |
| Advisors | As dictated by WS. Get CRD# in FINRA |
| Broker/Dealer | Capture as dictated |
| City | |
| State | |
| Location | |
| Same broker/dealer/location | Ticked by default if there were two or more non-Russell attendees |
| Note Type | Appointment – if the activity is a meeting Phone Call/Online – if the activity is done via call |
| Meeting Type | if note type is “appointment” • In-Person Individual – one non-Russell attendee • In Person Group/Branch – two or more non-Russell attendees if note type is “phone call” |
| Subject | Default: Appointment with one attendee – Meeting with [FA] Appointment with two attendees – Meeting with [FA1] and [FA2] Appointment with more than two attendees – [Firm] Meeting/Meeting with [Firm] Phone call – Call: [FA] |
| Description | Meeting notes to be captured in clean verbatim |
| Zoom/Online | Tick the “appointment” was conducted via Zoom or any other teleconferencing program |
| Organizer/Call from | Name of the WS |
| Owner | Name of the WS |