ANAC BrokerageTeam No: 7

Prepared By:

Chris Aholt

Mauricio Aviles

Mridul Chowdhury

Chau Nguyen

Content

• Overview.

• Business Objectives.

• System Objectives.

• Project Objectives.

• Overall Picture.

• Assumptions and Constraints.

Content

• Sample Components– Accessing the system

– Setting up User accounts

– Trade Management – buying stocks.

• Project Schedule.

• Next Steps

• Q & A

Overview

• Design and implement a GUI, web-based, stand alone software to cover the trading needs of a small brokerage system.

• Target Users:

Brokerage Representatives (Rep).• Development Model: Waterfall Method

Business Objectives

• Account Setup.

• Account Types.

• Account Maintenance.

• Cash Management.

• Transactions.

• Transaction History.

• Search Functionality.

• Reports.

• Quotes and News.

System Objectives

• Web-based: ASP.NET.

• Developing Language: C#.

• Database: Microsoft Access/ MySQL (TBD).

• Connectivity: UTA infrastructure.

• Real-Time Information: Yahoo! Finance.

Project Objectives

• Emphasize and Optimize the accessibility of information

to benefit the Customers & Reps through:

– Customer Management Screen

– Representatives Welcome Screen

• Live Quotes and News without opening new screens.

• Message Center to improve company’s communication

Project Context

ANACWelcome Screen

Representative Welcome Screen

Login

Customer Management

Search Functionality Account Maintenance

Reports

Money Management

Reports

Account Setup

Trade Management

Overall Picture: UML class diagram

Assumptions and Constraints

• User will access the system through a

compatible browser.

• Deal only with U.S. stocks.

• Ignore network issues.

• No taxing issues.

• Reps will have basic knowledge of U.S. stock

market.

Sample Components:

Accessing the System

Accessing the system.

• Compatibility:– Microsoft Internet Explorer

– Mozilla Firefox

• Requirements:– Username (system provided)

– Password

• Security:– System locking capabilities

– Manager locking capabilities

Accessing the system.

• 3 types of profiles:

– General Manager– Manager– Employee

Profile privileges

Use Case: Accessing the System

Use Case Description Action items corresponding with the Use Case{Notation: R = Requirement; A = Assumption; C = Constraints}

How do we sign in into the system? R1: The user will need to visit the main web-address of the system (to be defined), using a compatible browser.

R2: In the ANAC Public screen the user will need to click on the “log in” link. The system will then ask for a username and password.

R3: The representative (Rep) will need to enter his/her username, provided by the system, and his password, and click on “Log on”.

R4: The user will have up to 4 tries to get his username and password right. After this, the system will lock the user account from being able to logon. (See Use Case: “How to unlock an account” for feature reference)

R5: If the username and password are entered correctly, the Rep will be able to log in successfully, and will be taken into either the Employee welcome screen, or the Manager welcome screen; depending on his type of account.

UML : Accessing the system

Sample Components:

Setting Up User Accounts

Setting Up User Accounts

• Select between 3 types of account:– Personal– Roth IRA

– IRA

• User must enter personal information.• System will generate a customer account

number. No need for a SSN for non-residents

• Email is a required field.

Setting Up User Accounts

Use Case Description Action items corresponding with the Use Case{Notation: R = Requirement; A = Assumption; C = Constraints}

How do we open a new customer account?

R1: Rep will select “Add New Customer” link. Rep will be taken to the Account Setup screen, where Rep will choose one and only one type of account to setup.

R2: Rep will enter customer full name, date of birth (DOB), Social Security Number (SSN), phone number, home and mailing addresses, email, marital status, and beneficiary information.

R3: Rep will click “Submit” button. System will check (based on name and SS#) if Customer already has an account. In this case, a popup will be shown saying that the customer already has an account and also give the Client Number. Clicking “OK” will bring Rep back to Account Setup screen..

R4: If Customer does not already have an account, the system will generate a unique Client Number for this Customer.

R5: Rep chooses from a pulldown menu the initial payment method for this account: Credit Card, Check, or Money Order. They system will ask for different payment details depending on the option selected. Rep will enter in information.

R6: Rep will click “Submit” button. The payment amount entered into the “Amount” text box must be greater than or equal to some minimum amount, or else Rep will be returned to the payment screen with an error message.

R7: If account was created successfully, Rep will be taken to Customer management screen for this Customer, and an email with Customer’s account information will be sent to Customer.

UML: Setting Up User Accounts

Sample Components:

Buying Stocks

Buying Stocks

• Real time quotes*. Without intermediate screens.

• Two ways of placing an order:– Market

– Good Till Cancel

• System will send confirmation emails for each order placed.

• Trading stocks will affect the way the customer management screen looks.

• Pending transactions can be modified and cancelled.

Use Case: Buying Stocks

Use Case Description Action items corresponding with the Use Case{Notation: R = Requirement; A = Assumption; C = Constraints}

How do we Buy Stocks? R1: Rep needs to click on the “Make a trade” link inside the customer management screen.

R2: The Rep will be taken into the Trading Screen. Here he needs to select the option “Buy” from the “Action” pull down menu.

R3: Rep enters the ticker symbol and the number of stocks to buy in the “Ticker Symbol” and “Number of Stocks” textboxes, respectively.

R4: Once a symbol has been entered a “Quote” and a link for news will become available.

R5: Rep chooses the type of transaction desired, “Market” or “Good Until Cancel”, from a pair of radio buttons.

R6: If the “Good Until Cancel” option was chosen, a desired price box becomes active. The Rep shall enter the desired price for the stock.

R7: Rep then clicks the “Buy” button. If the ticker symbol was correct and funds are available, a confirmation screen will appear with the details of the order. Otherwise the Rep will be taken back to the trading screen, and the system will mark the details that were wrong in the order.

R8: The Rep must confirm the order within 30 seconds by clicking in the “Confirm Order” button of the confirmation screen. If not Rep will be brought back to the trade management screen.

R9: If the transaction type was “Good Until Cancel”, then the details of the order will be updated in the pending transactions box of the customer management screen.

R10: If the transaction type was “Market” the table in the customer history is updated with the information of the transaction just made.

UML: Buying Stocks

Access Customer Account

Project Schedule

Phase Date Project Deliverables

I Sept. 20, 2006 Project scope and initiation

II Oct. 11, 2006 All non code artifacts (UC, Requirements, UML)

III Dec. 6, 2006 Final Product (Project Demo, Source Code, User Manual)

Next Steps

• Determine the DBMS

• Determine the web address for the system

• Start Coding phase

• Design the overall look of the website

Questions???