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