NASAA Investment Adviser Examiners' Workshop

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Across
  1. 4. The value of an asset less the value of all liabilities on that asset
  2. 6. Digital currency
  3. 7. A written disclosure statement that you must provide to clients and prospective
  4. 10. A medium of exchange that are created and stored electronically in the blockchain
  5. 13. Abbr. for American stock exchange located at 11 Wall Street, Lower Manhattan, New York City, New York.
  6. 14. The sponsor of this training program
  7. 16. Fixed income investment in which an investor loans money to an entity
  8. 18. Act of deception or misrepresentation
  9. 19. Sunshine state
Down
  1. 1. What an IA charges
  2. 2. Trade without the client's permission
  3. 3. Holding, directly or indirectly, a client funds or securities, or having any authority to obtain possession of them
  4. 5. Abbr. for initial public offering
  5. 8. A person or firm that holds and administers property or assets for the benefit of a third party
  6. 9. A person engaged in the business of effecting offers, purchases, or sales in securities for the account of others or for his or her own account
  7. 11. Contributions to this type of IRA are made with after-tax dollars
  8. 12. of Return Gain or loss on an investment over a specified time period, expressed as a percentage of the investment's cost
  9. 15. Ticker symbol for Facebook
  10. 17. Ticker symbol for Apple Inc.