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BOOKS™ purpose is to meet NASD, SEC and state record-keeping requirements with the least possible work and no duplication of effort. BOOKS™ can even be used to keep the order records of a small broker-dealer or investment advisory firm. In addition to compliance record-keeping, BOOKS enhances advisor productivity with quick access to client information and past orders, a built-in commission calculator, and a client dialer.
BOOKS is a proven program. The first copy of BOOKS was sold in 1992, and now thousands of financial advisors and registered representatives use BOOKS every day. Over the years, offices that use BOOKS have been audited successfully time and again by regulators.
BOOKS™ is easy to use and requires almost no typing skill. The motto of the BOOKS designers is "Never type it twice!" BOOKS uses a point and shoot menu structure and mouse commands to minimize typing. In BOOKS™, the user has the ability to instantaneously duplicate tickets with only a couple of clicks. There is no need to even type the next account number or name. Adjust the quantity if necessary, press Ctrl+ A, then click on the right name from your customer list, and BOOKS™ will fill in the account number and name for you. Once an account or security is entered into BOOKS™ for the first time, it is never necessary to retype it.
Client & Prospect contact functions are at your fingertips. Client phone numbers are displayed with just a couple of clicks. A note-taking communications record is attached to each account, with each notation time and date stamped automatically, an important asset for customer service and if there is client litigation. Printing mailing labels and client call lists is just a click away
Compliance supervision becomes easier and more meaningful with BOOKS™, as branch managers or compliance officers can investigate unusual transactions, branch positions and account profiles with only a few clicks. For remote offices, you can conduct an "instant spot audit" without expensive travel. Simply call for a BOOKS back-up by overnight or by e-mail. BOOKS™ handles direct trades with mutual funds, variable annuities, and insurance policies as easily as stock and bond orders. A special ticket just for mutual funds allows the user to include information such as over, under or even, letter of accumulation, initial asset allocation, etc. right on the ticket. A large instructions field on the standard ticket allows the user to record any information desired on annuity and insurance trades.
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