PuzzleType=Crossword
PuzzleTitle=Penalties, Liabilities and General Provisions
PuzzleDate=
PuzzleAuthor=
PuzzleCopyright=Play Games...Pass the Test   © TESTivity
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CWA=Under Code of Procedure, any information requested by regulators in _______ must be provided within 25 days
CWA=Investment Advisors must ______ required records for 5 years
CWA=The administrator of the state in which a printed solicitation is _______ will have jurisdiction if less than 2/3 of the publication left the state
CWA=A State Securities Administrator will have jurisdiction over any transaction that ______ in their state
CWA=Broker/Dealers must retain required records for a minimum of _____ years
CWA=A State Securities Administrator will have jurisdiction over any transaction that is ______ in their state
CWA=A State Securities Administrator will have jurisdiction over any transaction that is ______ in their state
CWA=A(n) _______ who willfully violated the Uniform Securities Act may be fined up to $5,000 per violation
CWA=Under Code of Procedure $2500 is the _____ fine for a minor rule violation
CWA=The securities industry equivalent to the civil court system
CWA=A grievance under $25,000 will be handled through ______ Code of Arbitration
CWD=An IAR who willfully violated the Uniform Securities Act may be fined up to $10,000 per _______
CWD=Under Code of Arbitration, awards of the arbitrators are final and binding and not subject to _____
CWD=The pre-dispute arbitration agreement requires the customer's ________
CWD=An agent who willfully violated the Uniform Securities Act may be sentenced up to _____ years in prison
CWD=_______ damages will not be awarded in arbitration
CWD=A typical arbitration panel consists of _____ arbitrators
CWD=An IAR who willfully violated the Uniform Securities Act may be sentenced up to _____ years in prison
CWD=Complaints and minor rule violations are handled through Code of _______
CWD=The statute of limitations for civil penalties is 2 years from occurrence or 3 years from ______ of the alleged violation
CWD=The statute of limitations for ______ misconduct for agents and IARs is 5 years
CWD=Under Code of Procedure, the aggrieved party has _____ days to accept or decline a written offer of recession
CWD=Any ______ violation of the Uniform Securities Act by a registered person may result in a jail sentence
CWD=Monetary awards through arbitration must be made within _____days
CWD=In addition to criminal prosecution, agents and IARs may face _____ liabilities