NASAA IA Training After Lunch Crossword Challenge

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Across
  1. 3. a type of cryptocurrency
  2. 4. ticker symbol for Netflix
  3. 6. to act in the best interest of the client
  4. 7. a fixed income security
  5. 8. the cost for an investment adviser's services
  6. 13. exempt sale of securities to accredited investors
  7. 15. competing personal and business plans
  8. 18. provides continuous investment services for a fee
  9. 19. client and firm documents
  10. 20. a firm that executes security transactions for itself and clients
  11. 21. a digital ledger for cryptocurrency transactions
  12. 23. the oldest investor protection organization
Down
  1. 1. ticker symbol for Amazon
  2. 2. a fraudulent plan promising high returns for little risk
  3. 5. wrongful or criminal deception intended to result in personal gain
  4. 7. recommended procedure or implementation
  5. 9. free from security registration
  6. 10. individuals with a history of disciplinary actions
  7. 11. freedom to make investment decisions on behalf of the client
  8. 12. a method to raise funds for a cyrptocurrency
  9. 14. a written disclosure statement that must be provided to existing and prospective clients
  10. 16. ticker symbol for Facebook
  11. 17. the sunshine state
  12. 22. possession of client funds or securities