Across
- 4. kept on file for 6 years, detailed record of trading activity
- 5. quick build up of interest in a security, followed by disposition of security, and typically price decline
- 7. maximum prison sentence for willful violation of the USA
- 11. block trades immediately as the market opens
- 14. making market decisions for a portfolio with NPI
- 16. winner of crossword two
- 17. administrator does NOT have authority to
Down
- 1. first name of your 63 coach (Hint: it's not Hunter, and you can find this information independently)
- 2. Administrator may do this when they are investigating potential violations
- 3. trading ahead of large pending orders
- 6. block trades immediately before market close
- 8. winner of crossword one
- 9. willful deceit of client
- 10. excessive trades in the account for commission
- 12. typically rectified by way of payment of fees & covering cost of litigation never prison time
- 13. buy and sale of security repeatedly to create illusion of activity
- 15. placing fake orders to move prices up or down