Across
- 2. most fired up about not winning yesterday
- 3. has the freshest set of headphones
- 7. fee charged to those who buy shares of some MFs & paid up front
- 8. must be filed within 30 days for suspicious transactions
- 13. bureau of US dept of treasury with a goal of safeguarding financial systems from illicit use
- 14. how expensive trading in the account has been, ratio found by dividing the total annual cost by average account balance
- 15. written documents distributed to more than 25 investors
- 17. may only be shared by agents who are at the same firm, never between firms or third parties
- 18. cost incurred when buying a MF, used to cover a mutual funds marketing & distribution expenses
- 19. fees for 6 months or more in advance, in excess of $500
- 20. investor is required to deposit 50% of purchase price when buying stock in this type
Down
- 1. investment company type that sells shares of it's own stock to investors and pools the securities together
- 2. ratio found by total value of annual purchases divided by average monthly balance
- 4. to be defined as this, you need not exceed .5% in fees but can charge 12b-1
- 5. firms & agents have an obligation to fulfill this in order to protect the client
- 6. winner of Blooket this morning
- 9. acceptance of large amounts of cash from persons where the money is suspected of being used for illegal purposes
- 10. trading strategy and also a burger chain
- 11. any written communication to 25 or fewer retail investors
- 12. must pay in full for securities purchased
- 16. defined as any notice, circular, letter or written communication sent for publication