IFF

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Across
  1. 4. AML _________ Testing
  2. 5. National _________ program
  3. 10. ____ supervision
  4. 12. FINRA’s premier annual innovation event
  5. 13. Membership _____ program
  6. 15. National _____ and financial crimes
  7. 16. Occurs where a party enters a series of sell or buy orders, then executes a trade on the opposite side and cancels all, or most, previously placed orders.
Down
  1. 1. FINRA learning and development system
  2. 2. System to book flights/train/hotel
  3. 3. Policies, procedures, and ______
  4. 6. FINRA Values: collaboration, innovation, responsibility, ______
  5. 7. Together we protect investors and ensure market ________
  6. 8. Involves a pattern of entering multiple orders at various price levels on the buy or sell side of the markets. The layered orders may be entered with the intention of creating a false or misleading appearance of volume in the order book.
  7. 9. Cyber and ________ Unit
  8. 11. Left of
  9. 14. Robert ________
  10. 15. System to book cubicle/office