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Search by Volume

The Search by Volume page lets Compliance Officers search all employee accounts for accounts that have trading volume over a specified value and view a report of the results. Activity includes trades, dividends and transfers but does not include cash-related activities such as interest or deposits.

The Search by Volume results sorts employee accounts by the number of transactions in descending order, and include performance in Net Asset Value (NAV) for each account. The results do not specify specific activity.

To use the Search by Volume page

  1. Click Reports > Compliance > Search by Volume.
  2. Enter search criteria:
  • Select Daily or Range in the Period field.
  • If you selected Daily as the Period, select a specific date from the Date drop-down. If you selected Range as the Period, select a From and To date in the Date Range fields. Note that you can select Daily and Range dates back to 2009.
  • In the Minimum Volume field, enter a volume threshold. The number you enter must be an integer greater than 0. The results will include employee accounts that have activity volume equal to or higher than the value you enter.
  • In the Format field, select your desired output format (HTML/Web or PDF).

  1. Click Submit.
  • If you selected HTML/Web as the Format, the statement will open in a new browser tab or window.
  • If you selected PDF as the Format, save the file to your computer when prompted.

The following image shows an HTML/Web-formatted Search by Volume result with the minimum volume set to 50.

For more information

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