Compliance Newsletter, Vol 1. April 2021

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Across
  1. 2. Covid conference room
  2. 4. Ticker symbol for Apex Clearing Holdings
  3. 5. Outside Brokerage Accounts are required to be disclosed via ________ Compliance Technologies
  4. 7. Sum of money paid by a company to its shareholders
  5. 8. Written ________ Procedures
  6. 13. Protects against the criminal or unauthorized use of electronic data
  7. 16. A Series 4 Exam covers this specific area
  8. 17. Securities ________ Protection Corporation
  9. 18. The acknowledgement of understanding and abidance to policies, procedures or training
  10. 19. ________ Oxley Act of 2002
Down
  1. 1. Being in accordance with established guidelines or regulations
  2. 3. Special Purpose ________ Company
  3. 6. People who have material nonpublic information about a company
  4. 9. The Firm's new Deputy CCO
  5. 10. State where Apex Clearing is based
  6. 11. Know Your ________
  7. 12. Vendor for Firm Element Training
  8. 14. Driving for Uber is an example of an Outside ________ Activity
  9. 15. Handles the licensing and regulation of broker-dealers