Series 63 Chapter 2

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Across
  1. 4. state-level all encompassing authority
  2. 5. used when a company has provided registration documents to the SEC
  3. 10. paperwork required for registration of a firm
  4. 11. exempt government issues
  5. 13. when the administrator must promptly notify interested parties, provide the reasons for the request, indicate that within 15 days of request they will be granted a hearing
  6. 14. needs to register with the state
  7. 15. may be denied or revoked by administrator for fear of misleading
  8. 17. exempt from registration, think payout when you pass away
  9. 18. exempt security, based on an unconditional agreement to pay a certain amount of money to a named party
  10. 19. someone who offers recommendations
Down
  1. 1. exempt from registration under USA, think cash
  2. 2. exempt investments issued at an intra-state level
  3. 3. administrator will __________ when a registrant is no longer in existence, subject to adjudication or cannot be located
  4. 6. exempt securities from state registration due to active status elsewhere
  5. 7. registration that is not required at the federal level
  6. 8. requires these 4 items, applications, registration fee, consent to service process, bond as the administrator may be prescribed
  7. 9. registration for issuers with pending SEC registration & registration with the state
  8. 12. does not need to register with the state
  9. 16. exempt from registration, similar to a bank but not for profit & member owned cooperatives