Series 63 - Final Crossword

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Across
  1. 3. the person who is going to pass tomorrow
  2. 7. when a representative engages in private securities transactions without the knowledge or consent of his employer
  3. 9. what you should remind yourself that you are tomorrow morning
  4. 10. The official or agency in charge of following/enforcing the securities laws of a state
  5. 12. must have: buy/sell, name of security, account number, order type, solicited or unsolicited
  6. 13. refers to every contract to exchange securities, usually for cash
  7. 17. must be filed when $10,000 or more is deposited
  8. 19. transactions done solely to give the appearance of trading activity
  9. 21. folks who are not dead, minors, or people who have been declared mentally incompetent.
  10. 22. deposit of cash, securities or insurance to ensure protection of their consumers in the event of malpractice, theft or fraud
  11. 24. legal document that must be given to every investor who purchases registered securities in a primary offering
  12. 26. Although exempt securities and securities sold in exempt transactions are exempt from the registration and advertising filing requirements of the Uniform Securities Act, no security or person is exempt from the ________ rules.
  13. 27. If an agent represents a broker/dealer, they must always ________, no matter what they sell.
  14. 28. what you should feel about yourself for making it this far
  15. 29. Any material designed for use by newspapers, magazines, radio, television, telephone recording or any other public medium to solicit business.
  16. 32. act of reaching out to entice a client to buy or sell something
  17. 34. placing an order for own account ahead of placing customers order
  18. 35. any person who issues or proposes to issue any security
Down
  1. 1. without intention to deceive, or "in good faith"
  2. 2. the Series 63 test administrator, not FINRA
  3. 4. laws passed by states to govern securities industry
  4. 5. Includes every solicitation to sell a security for value
  5. 6. deliberate concealment, misrepresentation or omission of material information or the truth to deceive or manipulate another party for unlawful or unfair gain
  6. 8. person who, for compensation, engages in advising others to the value of securities and/or if they are to be invested in
  7. 11. any person engaged in the business of effecting transactions in securities for the account of others or for his own account
  8. 14. An individual who represents a broker/dealer or an issuer when selling or trying to sell securities to the investing public
  9. 15. accepting customer funds or securities into a persons possession for safekeeping
  10. 16. tomorrow you will be fully _________
  11. 18. Any person who has non-public knowledge (material information) about a corporation
  12. 20. when a brokerage firm combines its securities with customer's securities
  13. 23. meaning not required to register
  14. 25. submitted when there seems to be something wrong in the account, like theft, laundering or embezzlement
  15. 30. exemption granted when the firm is not required to register in state when they do not have an office in the state and no more than. 5 clients in 12 months because they do not have a physical presence in the state and is only doing minimal business
  16. 31. when you defeat NASAA you have become a ______
  17. 33. buying a security in one market and simultaneously selling it on another market to profit from price difference between the two markets is not illegal