Compliance Newsletter, Vol 1. April 2021

Edit Answers
12345678910111213141516171819
Across
  1. 2. Covid conference room
  2. 4. Ticker symbol for Apex Clearing Holdings
  3. 5. Outside Brokerage Accounts are required to be disclosed via ________ Compliance Technologies
  4. 7. Sum of money paid by a company to its shareholders
  5. 8. Written ________ Procedures
  6. 13. Protects against the criminal or unauthorized use of electronic data
  7. 16. A Series 4 Exam covers this specific area
  8. 17. Securities ________ Protection Corporation
  9. 18. The acknowledgement of understanding and abidance to policies, procedures or training
  10. 19. ________ Oxley Act of 2002
Down
  1. 1. Being in accordance with established guidelines or regulations
  2. 3. Special Purpose ________ Company
  3. 6. People who have material nonpublic information about a company
  4. 9. The Firm's new Deputy CCO
  5. 10. State where Apex Clearing is based
  6. 11. Know Your ________
  7. 12. Vendor for Firm Element Training
  8. 14. Driving for Uber is an example of an Outside ________ Activity
  9. 15. Handles the licensing and regulation of broker-dealers