PuzzleType=Crossword
PuzzleTitle=Fraudulent and Other Prohibited Practices
PuzzleDate=
PuzzleAuthor=
PuzzleCopyright=Play Games...Pass the Test   © TESTivity
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CrosswordAllowRevealWord=False
CrosswordAllowRevealLetter=True
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CWA=A registered representative should never ________ a profit.
CWA=To speculate that a client "is in the know" and buy or sell the same security that the client recently bought or sold.
CWA=To post a price and refuse to fill an order at that price is called ________, and is not acceptable.  (2 words)
CWA=You must have reasonable grounds for believing each recommendation to a customer is ______, based on their specific situation.
CWA=________ or short-term trading of mutual fund shares is an unethical trading practice.
CWA=Selling dividends can be defined as using the fact that a security will be paying a dividend in the near future to induce a client to ____ the security.
CWA=Establishing ________ accounts to execute transactions that would otherwise be prohibited is unlawful.
CWD=If a transaction is not recorded in the regular books and records of the Broker/Dealer whom the RR represents, the rep is _________.  (2 words)
CWD=It is unlawful for a registered rep without discretionary power to process a transaction in a client's account without the client's ________.
CWD=The intentional omission or misrepresentation of material fact with intent to deceive.
CWD=If FINRA staff asks you to provide information or testify in person, you must ________.
CWD=Client funds and securities are required to be ________ from those of the Broker/Dealer or Investment Company.
CWD=Excessive trading with no purpose other than to generate commissions is called _______.
CWD=It is not acceptable to ______ sales charges to a client, even as a customer service gesture.