Credit

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Across
  1. 1. RIA's are required to file this at minimum annually
  2. 6. Options agreement (Abr.)
  3. 7. Breach of the SEC 120% capital rule or any of our credit requirements
  4. 9. NF Correspondent clients act as mini clearing firms to these…
  5. 10. This IWS review process is not "medical" but some firm are in critical condition
  6. 15. Used as credit protection when issuing loans to IWS advisors, doesn’t always work! (2 Words)
  7. 17. See #32, this section contains Disclosure information
  8. 19. Billionaires have likely set this up (2 words)
  9. 20. This individual earns a fee NOT a commission and NO series 7 is required
  10. 22. A bankruptcy would most certainly lower this (2 words)
  11. 23. Process when firms leave NF
  12. 24. More than one Clearing firm
  13. 25. Guarntee letter for trading or an individual with ownership of a firm
  14. 26. Advisor who leaves a "wirehouse" to start their own or join a new firm
  15. 28. Codename for a very large NF client converting in 2014 (2 Words)
  16. 29. The size of an IWS client is defined by this acronym (Abr.)
  17. 30. Makes terminating IWS clients easy
  18. 32. Short term BD loan specifically used for IPO's (Abr.)
  19. 34. A Broker dealer CAPITAL report or big time concentration
  20. 38. A new one page credit overview of IWS and NF clients, also part of #12 (2 words)
  21. 39. It’s the "W" in BDW (FINRA shutdown)
  22. 40. Inducement term used to bring on or retain BD's
  23. 41. Old term for a broker on the floor of the NYSE or a rarely used bill (2 words)
Down
  1. 2. Type of long term capital loan used by BD's
  2. 3. Check Deposit Mobil version of this treasury function was just released (3 words)
  3. 4. Team Name of the Credit group who won the 1st ever OSG Spelling Bee!
  4. 5. New client review board (Abr.)
  5. 8. Term for Business Activities conducted by a rep but not supervised by the firm
  6. 11. IWS Bank relationships which are NOT advisors (2 Words)
  7. 12. Fideltiy's jargon identifier for IWS clients (2 words sorta)
  8. 13. A QSR is an agreement between 2 clearing firms. The R is for Rep, what's does QS stand for?
  9. 14. A broker deal who also collects commissions and fees is know as this. Hint-Think Prius…
  10. 16. Alternative term to parent company (sometimes)
  11. 18. Non Fido Execution (2 words)
  12. 21. Protective loan terms for the underwriter
  13. 27. Deposit placed with Clearing firm. Hint-Roger wants as much as we can get
  14. 31. Smallest IWS client (in assets, Millions) allowed after 1 year (2 words)
  15. 33. Family Office serving many advisors (Abr.)
  16. 35. Advisor who fuctions as a portfolio manager to other advisors (Abv.)
  17. 36. The acronym for the new credit & risk application (Abr.)
  18. 37. NF RM's try to avoid having their firms added to this… (2 Words)