Across
- 2. Candlestick that forms when a security's open and close are virtually equal for the given time period
- 7. Reversal pattern where the second candlestick is entirely contained within the first candlestick and is opposite in color
- 8. This rare pattern signals a reversal in an upward or downward trending price
- 11. This pattern can be a sign of indecision in the marketplace
- 13. Bri has placed a buy order for 1000 shares of ABC at the market. The execution price was $42 in his cash account on Wed, Feb 4th. If he fails to make payment by Mon, Feb 9th, what will the most likely consequence will be?
- 15. Place where transactions are recorded
- 16. The number of business days public customers are given beyond regular way settlement to make payment
- 17. Type of margin account in which the equity is less than the Reg. T percentage
- 18. Account type best for active traders?
- 19. Allows an investor to aggregate his own fund shares with the holdings of certain related parties, toward achieving the investment thresholds at which breakpoint discounts become available
- 22. Option that allows a company to sell up to 15% more shares than initially registered without having to file a whole new registration statement.
- 25. A bond sweetener
- 26. An agent of a broker-dealer cannot borrow money from them
- 30. Annuity to hedge against deflation
- 31. Arbitrator rulings are
- 33. A client of yours with a conservative level of tolerance for systematic risk and a fairly long time horizon has indicated that she would prefer to avoid substantial portfolio turnover. You would recommend a _______ strategy
- 36. Information about the municipal securities business, including the volume of new municipal issues coming to market over the next 30 days
- 38. These puts provide an effective hedge against downside portfolio risk
- 41. Debt instrument that will experience the greatest market price decline when interest rates are on the rise
- 42. A counter-cyclical investment?
- 43. The stock rule that dictates that a minimum of $2.50 per share is required when shorting stock priced at $2.50 or below
- 44. A corporate bond’s indenture has the...
- 45. Momentum indicator that measures the magnitude of recent price changes to evaluate overbought or oversold conditions in the price of a stock or other asset
- 47. Underwriting compensation in ____ is subject to a thorough review by FINRA
- 48. When shorting stock, loss results from a rise in ____
- 50. Self-employed individuals and their Full Time employees are eligible for a ____ plan
- 51. What type of mutual fund would be most suitable for the client seeking stability of capital?
- 53. Orders that must first be activated by a trade at or below the stop price
- 54. Public Utility companies are interest rate sensitive, as they tend to be highly...
- 55. They are not quoted as a percentage of par
Down
- 1. Assets purchased with the Capital raised by the business, but are not themselves considered Capital
- 2. The breadth of the market is measured by the ratio of these stocks *
- 3. areas of tight consolidation in price action showing a counter-trend move that follows directly after a sharp directional movement in price.
- 4. Spreads that profit when both options expire
- 5. Rules regarding mutual funds require that the purchase price be no less than the...
- 6. Regulation which requires firms handling short sales to obtain a level of certainty that the shares are available for borrowing
- 9. Syndicate in which members have a continuing responsibility for the unsold shares of other members
- 10. Spreads with the same underlying asset and strike price, but different expiration dates
- 12. Direct institution to institution securities transactions are considered the ____ market
- 14. Annuity to hedge against inflation
- 20. The agency that individuals opening a new account are required to supply information to, to verify they are not on the list of known money launderers, terrorists or others deemed ineligible to open an account at a financial institution?
- 21. When the US dollar is weak compared to foreign currencies, the US trade deficit tends to ____
- 23. Income tax that United States Treasury bonds are exempt from?
- 24. A short put provides premium income which provides a partial or limited amount of ____ hedge
- 27. Selling new bonds with a lower interest rate to retire bonds with a higher interest rate
- 28. The most significant distinction between a selling syndicate member and a selling group member is...
- 29. When one shorts stock, one can buy this to provide a hedge against unlimited loss
- 32. Allows investors to receive breakpoint discounts based on a commitment to buy a specified number of shares over a period of time
- 34. The most volatile of the money market rates
- 35. After looking at the price action on MMM common, Bri believes that it is fast approaching its resistance level of 60. If he does not think the stock will break out, what action will he take?
- 37. The value put options have when the market value of the underlying instrument is below the option’s strike price
- 39. The breadth of the market is measured by the ratio of these stocks *
- 40. How should you handle potential or actual conflicts of interest when recommending a transaction to a customer?
- 45. Bri's research indicates that the stock of BB Corp. is in an inverted head and shoulders formation. What does this signal?
- 46. The violation which occurs when a registered rep fails to inform, or remind a mutual fund investor of the availability of reduced sales charges at certain circumstances?
- 49. Incorrectly signals a reversal from a downward trend to an upward trend
- 52. Best test of corporate liquidity