Time Horizon Financial Records High Water Mark Professional Designation SEC Cash v Accrual Knows ASL Advertising AUM Fee Negative Consent Form U6 RIA Heightened Supervision Pet other than cat/dog Deficiency Letter Custodian LPOA Bourbon Street Options Trading Mutual Fund Series 66 $100 Million Threshold NASAA Pres. Marni Gibson Form U4 OTC Securities Birthday this month Form U5 Books and Records IAR CE Works in regulation First time at training conf. Concur Suitability/WSP Qualified Client Diversification Unsuitable Investment Discretion Reverse Churning Liquid Net Worth FINRA ADV Part 1B Balance Sheet Custody ADV 2A Delivery Failure Knows martial arts Learned a new acronym IAR Beneficiary De Minimis Exemption ADV Part 2B Deficiency Market Index Trade Blotter Empty nester Worked at an RIA before Trusted Contact Person Read ADV start to finish Routine Examination Reg D PPM Concentration Risk SLOA Met a John at a conf. Cybersecurity Policy Unearned Revenue OBA Missed a flight Never done a reg exam Bond Code of Ethics General Ledger Net Worth Annuities Traveled for an exam Wrap Fee Pooled Investment Vehicle Chief Compliance Officer Form CRS Has 4+ pets Attended a conf. before Advisory Contract Solicitor Mississippi River Lived/worked on a farm Series 65 IARD NASAA Connect ETF ADV Part 1A/Schedule A Needs coffee to function Income Statement- P&L NASAA Model Rules Time Horizon Financial Records High Water Mark Professional Designation SEC Cash v Accrual Knows ASL Advertising AUM Fee Negative Consent Form U6 RIA Heightened Supervision Pet other than cat/dog Deficiency Letter Custodian LPOA Bourbon Street Options Trading Mutual Fund Series 66 $100 Million Threshold NASAA Pres. Marni Gibson Form U4 OTC Securities Birthday this month Form U5 Books and Records IAR CE Works in regulation First time at training conf. Concur Suitability/WSP Qualified Client Diversification Unsuitable Investment Discretion Reverse Churning Liquid Net Worth FINRA ADV Part 1B Balance Sheet Custody ADV 2A Delivery Failure Knows martial arts Learned a new acronym IAR Beneficiary De Minimis Exemption ADV Part 2B Deficiency Market Index Trade Blotter Empty nester Worked at an RIA before Trusted Contact Person Read ADV start to finish Routine Examination Reg D PPM Concentration Risk SLOA Met a John at a conf. Cybersecurity Policy Unearned Revenue OBA Missed a flight Never done a reg exam Bond Code of Ethics General Ledger Net Worth Annuities Traveled for an exam Wrap Fee Pooled Investment Vehicle Chief Compliance Officer Form CRS Has 4+ pets Attended a conf. before Advisory Contract Solicitor Mississippi River Lived/worked on a farm Series 65 IARD NASAA Connect ETF ADV Part 1A/Schedule A Needs coffee to function Income Statement- P&L NASAA Model Rules
(Print) Use this randomly generated list as your call list when playing the game. There is no need to say the BINGO column name. Place some kind of mark (like an X, a checkmark, a dot, tally mark, etc) on each cell as you announce it, to keep track. You can also cut out each item, place them in a bag and pull words from the bag.
Time Horizon
Financial Records
High Water Mark
Professional Designation
SEC
Cash v Accrual
Knows ASL
Advertising
AUM Fee
Negative Consent
Form U6
RIA
Heightened Supervision
Pet other than cat/dog
Deficiency Letter
Custodian
LPOA
Bourbon Street
Options Trading
Mutual Fund
Series 66
$100 Million Threshold
NASAA Pres. Marni Gibson
Form U4
OTC Securities
Birthday this month
Form U5
Books and Records
IAR CE
Works in regulation
First time at training conf.
Concur
Suitability/WSP
Qualified Client
Diversification
Unsuitable Investment
Discretion
Reverse Churning
Liquid Net Worth
FINRA
ADV Part 1B
Balance Sheet
Custody
ADV 2A Delivery Failure
Knows martial arts
Learned a new acronym
IAR
Beneficiary
De Minimis Exemption
ADV Part 2B
Deficiency
Market Index
Trade Blotter
Empty nester
Worked at an RIA before
Trusted Contact Person
Read ADV start to finish
Routine Examination
Reg D
PPM
Concentration Risk
SLOA
Met a John at a conf.
Cybersecurity Policy
Unearned Revenue
OBA
Missed a flight
Never done a reg exam
Bond
Code of Ethics
General Ledger
Net Worth
Annuities
Traveled for an exam
Wrap Fee
Pooled Investment Vehicle
Chief Compliance Officer
Form CRS
Has 4+ pets
Attended a conf. before
Advisory Contract
Solicitor
Mississippi River
Lived/worked on a farm
Series 65
IARD
NASAA Connect
ETF
ADV Part 1A/Schedule A
Needs coffee to function
Income Statement- P&L
NASAA Model Rules