My Crossword Maker Logo
Powered by BrightSprout
Save Status:
or to save your progress. The page will not refresh.
Controls:
SPACEBAR SWITCHES TYPING DIRECTION
Edit a Copy:
Make Your Own:
Crossword Word Search Worksheet
Rate This Puzzle:
Log in or sign up to rate this puzzle.

Compliance Fun 2023

ATEGRA CAPITAL MANAGEMENT LLC
FUN CREATED BY: LESLIE 
Across
Jon is Ategra's
To act solely for the benefit of our client
Trading with nonpublic information
Gifts, entertainment events, outside business activities
Guidance for proper trading & conflicts of interest
Quarterly transaction reports are submitted to who
Down
What must be preapproved & filed
Discussing Advisor's business is prohibited on these
Report securities law violations
Email address for preclearance of restricted stocks
You passed the Series 65, what are you now
Not allowed to accept over $500 per year