Series 63 Chapter 2

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