PuzzleType=Crossword
PuzzleTitle=Securities Markets
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PuzzleCopyright=Play Games...Pass the Test   © TESTivity
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CWA=The person making a market in an OTC security profits from the ______.
CWA=The purchase or sale of an exchange listed security in the OTC market is a ____ market transaction.
CWA=It is permissible to accept indications of interest by distributing a preliminary prospectus or place a ______ ad during the cooling-off period.
CWA=The OTC market is a _______ market.
CWA=The best available bid or ask price with an OTC stock is the ______ spread.
CWA=When a corporation or any other issuer sells a security, the transaction is called a _______ market transaction.
CWA=No solicitation of a new security can take place until at least 20 days after the registration statement is filed.  This window is referred to as the _______ period.  (2 words)
CWA=Regulation T allows for a two day ______ of settlement.
CWA=With regular way settlement, an investor has ______ business days to pay for a purchase.
CWA=Another name for preliminary prospectus.  (2 words)
CWA=The exchange market is a(n) _______ market.
CWA=A trade ________ must be sent to the investor no later than the day after the trade date.
CWA=________ underwriting is used to sell any remaining shares that are not purchased by existing shareholders who exercise their preemptive right when a corporation issues additional shares.
CWD=The person representing a Broker/Dealer is known as a(n) _______.
CWD=Before securities can be offered to the public a ________ statement must be filed with the SEC.
CWD=A prospectus must be delivered no later than with the ________ of any primary market transaction.
CWD=Type of underwriting where the underwriter commits to buy the securities from the issuer and resell them to the public.  (2 words)
CWD=With a(n) _______ underwriting agreement, none of the sales are final until the entire issue is sold. (3words)
CWD=Who maintains and orderly market in a particular security on the exchange?
CWD=If the investor has not made payment by close of business on the fifth day, the Broker/Dealer is required to liquidate the position and the account will be _______ for 90 days.
CWD=The ________ is intended to provide full and fair disclosure to the potential investor.
CWD=If a security is being offered to the public for the first time, the transaction is called the initial public ______.
CWD=Unlike the exchanges, the ____ has no physical location.  (acronym)