Across
- 6. an independent agency of the federal gov that functions as the US Central Bank.
- 8. self policing organizations that promote fair and equitable trading practices.
- 10. North American Securities Administrators Association. It protects investors from Fraud.
- 11. Demands that investors be provided with full and fair disclosure so that they're able to make informed investment decisions. 1933
Down
- 1. Both defines the term investment adviser and provides exclusions from that definition. This includes the ABC test to see if the IA meets the definition. 1940
- 2. Allowed for the creation of non-exchange SROs. Also enabled the creation of the MSRB.
- 3. Established rules for secondary market, created the SEC and gave it preeminent regulatory authority over domestic security dealings in the primary and secondary markets. 1934
- 4. regulates companies that are formed to pool together money from investors and invest the funds in securities. 1940
- 5. Insures banking deposits and examines financial institutions for both safety and soundness.
- 7. Regulations imposed by individual states for issuers, broker-dealers and their agents, and investment advisers.
- 9. An independent, federal gov agency that's responsible for protecting investors, maintaining fair and orderly securities trading markets, and facilitating capital formation in the primary market.