Across
- 4. contingent deferred sales charge
- 5. dealer profit margin
- 7. placed with cash transactions >$10,000
- 8. investor equity insurance
- 10. slice of a structured debt instrument
- 11. ad for new issue
- 13. excess return over benchmark
- 14. price to sell a security
- 15. excessive trading on customer account
- 16. safekeeping of assets
Down
- 1. bid-ask difference
- 2. less than 100 shares
- 3. simultaneous buying and selling for profit
- 4. measure of market volatility
- 6. communication with >25 non-accredited investors
- 9. bond interest rate
- 10. Securities most suitable for preservation of capital
- 12. Purchase in Anticipation of heightened volatility
- 15. right to buy at strike