SIE Section 1: Capital Markets

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Across
  1. 1. / U.S. government agency that enforces securities laws
  2. 6. / Type of policy controlled by Congress through taxes and spending
  3. 7. / The entity (like a company) that offers securities to raise funds
  4. 9. / A firm or person that trades using their own inventory
  5. 10. / An investor with high income/net worth who can buy private placements
  6. 12. / A key economic indicator that measures national output
  7. 14. / A business structure that can sell stock and offers limited liability
  8. 16. / Provides limited protection for customers if a brokerage firm fails
  9. 17. / Sale of securities to select investors, not the public
  10. 21. / A simple business owned by one person with full liability
  11. 22. / An additional public stock offering after the IPO
  12. 23. / The type of policy the Federal Reserve uses to control interest rates
Down
  1. 2. / A centralized platform where securities are bought and sold
  2. 3. / Self-regulatory organization that oversees broker-dealers
  3. 4. / Economic condition where prices rise and purchasing power falls
  4. 5. / The market where investors trade previously issued securities
  5. 8. / Economic indicator that measures the jobless population
  6. 11. / The first public sale of a company’s stock
  7. 13. / A business structure owned and operated by two or more people
  8. 15. / A type of market where securities are traded directly without an exchange
  9. 18. / A person or entity that buys securities hoping for a return
  10. 19. / The market where new securities are sold to raise capital
  11. 20. / A middleman who connects buyers and sellers but doesn’t use inventory