PuzzleType=Crossword
PuzzleTitle=SEC & Other Regulations
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PuzzleCopyright=Play Games...Pass the Test   © TESTivity
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CWA=The Act of 1939 (Trust Indenture Act) regulates corporate _____ offerings in excess of $5 million.
CWA=The Securities Act of 1934 regulates the _______ market.
CWA=When a Broker/Dealer buys or sells securities for its own account, or fills a clients order from inventory, it is acting as a dealer in a _______ transaction.
CWA=Advisers with less than $25 million under management are ______ covered and must register with the state securities administrator.
CWA=If a dispute involves a dollar amount of $25,000 or less, it will be handled through ______ arbitration.
CWA=Records may be retained ________ if a backup copy is retained at a different location and hard copies can be printed upon request.
CWA=A statement of additional information need only be delivered ________.  (2 words)
CWA=The security industry's version of the civil court system.
CWA=The Securities Act of 1933 regulates the _______ market.
CWA=The person representing the Broker/Dealer is known as an _______ or registered representative.
CWA=______ covers each individual investor to a maximum of $500,000; however cash balances are covered to a maximum of $100,000.
CWA=The Bank Secrecy Act requires a ____ be filed with a cash transaction in excess of $10,000 or a wire transaction in excess of $3,000.
CWA=The Securities Act of 1938 is also known as the _______ Act.
CWA=It would be _______ for a Broker/Dealer to charge both a commission and a markup in the same transaction.
CWA=SIPC coverage only insures against a Broker/Dealer becoming ________.
CWA=The ______ to service of process form authorizes the SEC or State Securities Administrator to receive legal documentation on behalf of the agent.
CWA=Under the Investment Adviser Act of 1940 lawyers, accountants, teachers and _______ are specifically identified as being exempt from registration.
CWD=Advisers with over $30 million in assets under management are _______ covered and must register with the SEC.
CWD=In a principal transaction a Broker/Dealer charges a _________for its services.
CWD=Any _______ grievance falls under the definition of customer complaint.
CWD=The pre-dispute arbitration agreement is typically found in the account ______.
CWD=The prospectus is designed to provide full and fair disclosure and must be updated at least every _______ months.
CWD=The ________ of the Broker/Dealer has regulatory supervision over the Broker/Dealer's agents and over all branch offices.
CWD=A felony conviction within the last 10 years may _______ disqualify a person from becoming registered.
CWD=Information is considered "inside information" if it is both material and ________.
CWD=In an agency transaction a Broker/Dealer charges a _________for its services.
CWD=If a registered representative comes into possession of inside information, he/she should immediately inform his/her _________.
CWD=When a Broker/Dealer buys or sells securities for the benefit of others it is acting as a broker in an _______ transaction.
CWD=The Securities Act of 1938 established ______. (acronym)
CWD=A prospectus must be delivered no later than with the confirmation of a primary market _________ transaction.
CWD=The Investment Company Act of 1940 defined an investment company as Face Amount Certificate, Management Company or ___.
CWD=If a client conducts multiple transactions for low dollar amounts with no apparent purpose a ___ should be filed.