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Contract Note: Understanding Its Significance and Details

By: Akriti Tomar | Date : Mar 22, 25

Contract Note: Understanding Its Significance and Details

A Contract Note is a crucial document provided by a stockbroker to its customer, detailing all trades executed on a particular day. It serves as an official record of transactions, including the securities bought or sold, brokerage fees, and applicable taxes. This document helps investors track their trades and serves as legal proof of transactions. Stockbrokers are legally required to issue a contract note to customers who have traded on a given day. If sent via email, it is referred to as an Electronic Contract Note (ECN) or Digital Contract Note.

Key Features of a Contract Note

  • Printed on legal stamp paper (e-Stamp).
  • Sent as a PDF document via email at the end of the trading day.
  • Available for download through the broker’s back-office website or mobile app.
  • Issued only to customers who traded on a particular day.
  • Can only be issued by a SEBI-registered stockbroker.
  • Must be issued within 24 hours of trade execution.
  • Older contract notes can be accessed through the broker’s back-office portal.

Significance of a Contract Note

A contract note holds immense importance for traders and investors. It serves the following purposes: Legal Proof: It is a legally valid document containing details of trades executed on the stock exchange. Dispute Resolution: In case of disputes, contract notes act as crucial evidence for arbitration and legal proceedings. Verification of Trades: Investors can use it to verify brokerage charges, other fees, and executed trades.

Details Contained in a Contract Note

The format of a contract note is standardized as per stock exchange regulations and must include: Stockbroker Information: Name, address, and SEBI Registration Number. Authorized Signatory Details: Proprietor/partners and authorized signatory of the broker. Dealing Office and PAN Details: Contact details and tax identification of the broker. Investor’s Information: Unique Client Code (UCC) and PAN details of the customer.
  • Transaction Details: 
    • Contract note number and issue date.
    • Settlement number (7-digit number: first four digits represent the year, last three digits are the exchange’s settlement serial number).
    • Order number and order time.
    • Trade number and trade time.
    • Quantity and details of securities bought or sold.
    • Trade price and separately mentioned brokerage charges.
    • Taxes and Fees: Service tax, Securities Transaction Tax (STT), and any other applicable charges.
    • Authorized Signatory Signature.

What is Not Included in a Contract Note?

While a contract note provides essential details of executed trades, it does not include:
  • Depository Participant (DP) charges.
  • Payment gateway charges, if any.
  • Call and trade charges.
  • Margin details.
  • Outstanding positions of a client.
  • Historical trade details.

Important Terms in a Contract Note

SEBI Registration Number: Every SEBI-registered stockbroker is assigned a unique 12-digit SEBI registration number. For example, the SEBI registration number for RMoney is INZ000307234. Dealing Office: The stockbroker’s in-house dealing desk where investors can place trades via phone with certified dealers. Unique Client Code (UCC): A numeric or alphanumeric identification code issued by the broker to each client. Settlement Number: A 7-digit identifier where the first four digits denote the year, and the last three digits signify the exchange’s settlement serial number.

Conclusion

A Contract Note is a vital document in stock trading, ensuring transparency and compliance. It serves as a reference point for investors to validate transactions, track charges, and resolve disputes when needed. Investors should regularly check and maintain their contract notes for proper financial record-keeping and compliance.  

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