Series 63 Chapter 1

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Across
  1. 3. designated state official who enforces provisions of USA
  2. 7. any person engaged in effecting securities transactions for others or their own account
  3. 8. typically firms or orgs that participate in large volume of trading daily
  4. 9. individual who represents a broker-dealer
  5. 10. this under USA means it is backed by a separate entity
  6. 11. has AUM of $100MM or more & works for a registered investment company
  7. 13. an individual or a legal entity
  8. 14. an attempt to solicit a purchase or sale of a security for value
Down
  1. 1. minimizes duplication of fed & state registration of securities & prevents fraud
  2. 2. under USA this is the disposition of a security
  3. 4. willful wrong-doing or deceit of a client
  4. 5. protects investors & their interests when involved in a fiduciary relationship
  5. 6. any person who engages in recommendations for compensation (ABC)
  6. 12. any person who distributes securities for sale & receives proceeds