NASAA Investment Adviser Examiners' Crossword

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