Across
- 2. What an IA charges
- 4. Holding, directly or indirectly, a client funds or securities, or having any authority to obtain possession of them
- 5. Trade without the client's permission
- 9. Contributions to this type of IRA are made with after-tax dollars
- 13. A written disclosure statement that you must provide to clients and prospective clients
- 14. Ticker symbol for Facebook
- 15. The sponsor of this training program
- 16. of Return Gain or loss on an investment over a specified time period, expressed as a percentage of the investment's cost
- 18. Fixed income investment in which an investor loans money to an entity
Down
- 1. A person engaged in the business of effecting offers, purchases, or sales in securities for the account of others or for his or her own account
- 3. Digital currency
- 6. A medium of exchange that are created and stored electronically in the blockchain
- 7. The value of an asset less the value of all liabilities on that asset
- 8. Abbr. for American stock exchange located at 11 Wall Street, Lower Manhattan, New York City, New York.
- 10. Abbr. for initial public offering
- 11. Sunshine state
- 12. A person or firm that holds and administers property or assets for the benefit of a third party
- 14. Act of deception or misrepresentation
- 17. Ticker symbol for Apple Inc.