PuzzleType=Crossword
PuzzleTitle=FINRA Rules of Conduct
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PuzzleCopyright=Play Games...Pass the Test   © TESTivity
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CWA=Any reference to past performance must disclaim that past performance is not _______ of future results.
CWA=Communication referencing historical performance must be current, to the most recent calendar _______.
CWA=Any recruiting advertisement must not _______ the earning potential or make unwarranted claims about the opportunity.
CWA=A Registered Representative may not accept any gift from a client with a monetary value in excess of _______ dollars.  (2 words)
CWA=Projections and predictions are ________.
CWA=When comparing mutual funds one, ___ and ten year track records must be included.
CWA=Generally, it is ________ for a registered representative to share in the profit or loss of an account with a client.
CWA=Advertising and sales literature must be approved by a Registered Principal prior to use and must be filed with the SEC within ___ days of distribution to the public.
CWA=An advertisement promoting _________ averaging or periodic investment plans must disclose that such a strategy does not guarantee a profit or guarantee against loss.  (2 words)
CWA=Use of testimonials must portray the ______ opinion of the author.
CWA=Mutual fund advertising containing quotations of current yield must also contain _______ information.  (2 words)
CWD=A Registered Representative may borrow from a client if the client is in the business of ______ money.
CWD=It is only acceptable for a registered representative to share ________ with others who are properly licensed, registered and under common control of the same Broker/Dealer.
CWD=Material facts may not be ______ or exaggerated.
CWD=Written material distributed to fewer than 25 prospective retail customers within any 30 calendar day period.
CWD=Broker/Dealers must maintain all advertisements, sales literature and securities related correspondence for at least ____ years.
CWD=An associated person must disclose any outside business activity from which _________ is received.
CWD=Any material (other than an independently prepared reprint) that is published by a Broker/Dealer.
CWD=While correspondence need not be ______ by a registered principal prior to use, it is subject to his/her supervision, review and spot check procedures.
CWD=Broker/Dealers may only _______ services which they are equipped to provide.
CWD=It is not acceptable to use a name that misrepresents the true _______ of the product being advertised.
CWD=Advertising and sales literature must provide a sound basis for ________ material facts relating to the security.
CWD=If an associated person maintains a(n) _______ account at a Broker/Dealer other than the Broker/Dealer whom he/she represents it must be disclosed.
CWD=Any offer of a free service must be provided without obligation or restriction.