Series 63 - Chapter 4 & 5

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Across
  1. 2. most fired up about not winning yesterday
  2. 3. has the freshest set of headphones
  3. 7. fee charged to those who buy shares of some MFs & paid up front
  4. 8. must be filed within 30 days for suspicious transactions
  5. 13. bureau of US dept of treasury with a goal of safeguarding financial systems from illicit use
  6. 14. how expensive trading in the account has been, ratio found by dividing the total annual cost by average account balance
  7. 15. written documents distributed to more than 25 investors
  8. 17. may only be shared by agents who are at the same firm, never between firms or third parties
  9. 18. cost incurred when buying a MF, used to cover a mutual funds marketing & distribution expenses
  10. 19. fees for 6 months or more in advance, in excess of $500
  11. 20. investor is required to deposit 50% of purchase price when buying stock in this type
Down
  1. 1. investment company type that sells shares of it's own stock to investors and pools the securities together
  2. 2. ratio found by total value of annual purchases divided by average monthly balance
  3. 4. to be defined as this, you need not exceed .5% in fees but can charge 12b-1
  4. 5. firms & agents have an obligation to fulfill this in order to protect the client
  5. 6. winner of Blooket this morning
  6. 9. acceptance of large amounts of cash from persons where the money is suspected of being used for illegal purposes
  7. 10. trading strategy and also a burger chain
  8. 11. any written communication to 25 or fewer retail investors
  9. 12. must pay in full for securities purchased
  10. 16. defined as any notice, circular, letter or written communication sent for publication