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