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How to Enter a Mutual Fund Purchase
Go to: NetX360™ > Trading > Mutual Funds Trading.
In the Account field, type the account number and then click GO.
o Note: Perform an account search by clicking
The client's Funds Available
to Trade may be determined
by clicking the Refresh icon
Type a mutual fund
symbol or CUSIP
To search for a mutual fund symbol,
click the Magnifying Glass icon.
Select Yes if the order is the
first purchase of the fund or
No if the order is additional
purchase
In the Amount area, to purchase a specific:
Amount - Select Currency and type an amount in the
Amount field.
Number of shares - Select Shares and type the
number of shares in the Quantity field.
Select Yes if the order is
being placed due to the
recommendation of a
sales representative or
No if the order is being
directed by the client
Select Yes from the Share
Class Reviewed list. (The
default is No.)
Select Yes from the Reinvest dividends and Income
list to reinvest dividends and income or No to
receive dividends and income in cash.
Will always be No
Select Yes from the Reinvest
Capital Gains list to reinvest
capital gains or No to receive
capital gains in cash.
Select No if the fund will NOT be
purchased at NAV, if the fund will
be purchased at NAV, select one
of the applicable reason Yes
options.
In the LOI/ROA indicator field, select
LOI Date (for Letter of Intent Date),
LOI Number (for Letter of Intent
Number) or ROA (for Rights of
Accumulation). Required for Class A
mutual funds purchases unless the
trade is done at NAV
In the LOI Date field, indicate the
date of the Letter of Intent.
Click the DT Stamp button to populate the IBD
Order Receipt Date, Time and Time Zone
fields with the current date, current time and
NYT time zone.
Click Review Before Sending. The Review Order field displays
In the LOI/ROA Value field,
indicate the dollar value
associated with the Letter of
Intent or the Rights of
Accumulation. At a minimum, the
LOI/ROA Value field must be
populated with the dollar value of
the purchase being entered or the
order will NOT be accepted.
Fill in From field with client’s name
you took the trade from.
If the order details are correct, select Send Order.
The order may:
o Go directly to be processed.
o Generate a warning, and if acknowledged, go directly to be reviewed by Harbour for approval.
o Have a severe violation indicating the order (as entered) is not acceptable. Most of the time the order is missing information on the order
screen.