SIE Exam Crossword

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Across
  1. 2. policies enacted by Congress and the president to influence demand for goods and services
  2. 6. first distribution to the public; proceeds go to issuer
  3. 8. issuer transactions, sold to the public
  4. 11. rate Fed. member banks charge each other for overnight loans
  5. 12. stocks and bonds
  6. 14. Sold as units, offered with other securities, long-term, exercise above CMV when issued
  7. 16. transactions between investors
  8. 17. exchange-listed securities traded OTC
Down
  1. 1. issuer may buy back shares at a specified price
  2. 3. issued to raise capital ; provides investor growth
  3. 4. issued to raise capital; provides investor's income
  4. 5. prices determined by market forces where sellers of goods will price them to meet demand
  5. 7. missed dividend
  6. 9. policies enacted by the FRB to influence money supply
  7. 10. direct trading between institutional investors
  8. 12. Firm that carries customer accounts; accepts funds/securities
  9. 13. handles custody of securities and other services
  10. 15. available to existing shareholders, short term, exercise below CMV