Compliance Can Be Fun, Too.

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Across
  1. 2. software required to ensure the security of work-related devices (800 is the ideal score)
  2. 4. Rollover/_______/Distribution Disclosure Acknowledgement Form (revised in November, and yes, that's its full title)
  3. 9. Duty of Care New Account ________
  4. 10. ____ horizon: the expected holding period for an investment
  5. 12. Samuel _____, likely author of the Revolutionary War-era 'Centinel' letters
  6. 14. _______ Business Activity (OBA), reported through RegEd
  7. 16. well-known late December flier
  8. 17. a grape variety, or a Massachusetts town
  9. 19. Wade ____, who recently declared the 4% rule 'no longer safe'
  10. 22. in a perfect world, where client accounts can be seen in aggregate
  11. 23. a _________ method of forwarding (FedEx, mobile deposit) is required for all forwarded checks
  12. 24. ice _______, popular outdoor winter activity
Down
  1. 1. Variable Annuity Suitability ______
  2. 3. Anti-_____ Laundering regulations, to protect against fraud, terrorism, and other criminal activity
  3. 5. SEC requirements effected on June 30th, 2020 (abbr.)
  4. 6. open, honest, direct; the 'man in the middle'
  5. 7. Red _____ BB gun, the ultimate present for Ralphie
  6. 8. jelly doughnuts popular this time of year
  7. 11. ______-linked CD (example of a structured product)
  8. 13. car company (no gas required)
  9. 15. one of four RegBI core obligations (the other three are disclosure, care and compliance)
  10. 18. he resigned as 'HC of the NYJ' on January 4, 2000
  11. 20. "There's No Place Like ____ For The Holidays"
  12. 21. what Nanga Eboko first says to Clarence Beeks in 'Trading Places' - "_____ New Year!"