NASAA Investment Adviser Examiners' Crossword

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