PuzzleType=Crossword
PuzzleTitle=Securities and Transactions Exempt from Registration
PuzzleDate=
PuzzleAuthor=
PuzzleCopyright=Play Games...Pass the Test   © TESTivity
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CWA=Any oral, written or other communication used to offer or sell a security
CWA=All mutual funds and other investment companies must register with the ____
CWA=The indication of willingness to buy or sell a security -Or- Any recommendation made by a registered person to buy or sell a security
CWA=Any person (business entity) engaged in the business of affecting securities transactions for its own account or for the account of others (2 words)
CWA=Any person (business entity) who offers investment advice or recommendations, or prepares research reports for compensation is an Investment _______
CWA=A type of security whose interest, dividend and/or principal payments may be paid by someone other than the issuer, typically a parent company
CWA=Federal regulation eliminated dual registration by restructuring the division of responsibilities between Federal Regulators and State Securities Administrators
CWA=When executing a transaction on behalf of a client, a Broker/Dealer acts in the capacity of broker in an "agency transaction" and charges a ________ for its services
CWA=An individual or "natural person" who represents a Broker/Dealer or an issuer of securities
CWA=Investment Advisors with under $25 million in assets under management must register with the _______ Securities Administrator
CWA=Federally covered advisors are ______ from registration at the state level
CWA=Written evidence of ownership or debt where performance depends on the efforts of a third-party
CWA=Investment Advisors with over $100 million in assets under management must register _______ with the SEC
CWD=Any transaction between a(n) _______ and an underwriter, or among underwriters, is exempt
CWD=Investment Advisors with between $25 million and $100 million in assets under management may ______ with whom they will register
CWD=It is acceptable for an IAR to do business with a client in a state the IAR is not registered in if the client is a(n) ________ investor
CWD=An individual or "natural person" who represents an Investment Advisor (IA)
CWD=The transfer of beneficial ownership of an assessable security -Or- Entering into a contract to dispose of a security for value
CWD=Fixed Insurance Products and Endowments are ______ from the Uniform Securities Act definition of security
CWD=Any affirmative act or statement that endorses, solicits, requests, or commends a securities transaction to a customer or intentionally aids a person to engage in such conduct
CWD=When executing a transaction for its own account, a Broker/Dealer acts in the capacity of dealer in a "principal transaction" and charges a ________ for its services
CWD=The official who regulates and enforces securities law at the state level
CWD=Exempt transactions accommodate for the sale of ________ non-exempt securities
CWD=Anything other than a minor, a mentally incompetent individual or a deceased individual
CWD=A Broker/Dealer _____ charge a commission and a markup in the same transaction