Across
- 3. a type of cryptocurrency
- 4. ticker symbol for Netflix
- 6. to act in the best interest of the client
- 7. a fixed income security
- 8. the cost for an investment adviser's services
- 13. exempt sale of securities to accredited investors
- 15. competing personal and business plans
- 18. provides continuous investment services for a fee
- 19. client and firm documents
- 20. a firm that executes security transactions for itself and clients
- 21. a digital ledger for cryptocurrency transactions
- 23. the oldest investor protection organization
Down
- 1. ticker symbol for Amazon
- 2. a fraudulent plan promising high returns for little risk
- 5. wrongful or criminal deception intended to result in personal gain
- 7. recommended procedure or implementation
- 9. free from security registration
- 10. individuals with a history of disciplinary actions
- 11. freedom to make investment decisions on behalf of the client
- 12. a method to raise funds for a cyrptocurrency
- 14. a written disclosure statement that must be provided to existing and prospective clients
- 16. ticker symbol for Facebook
- 17. the sunshine state
- 22. possession of client funds or securities