Wrap Fee Needs coffee to function Books and Records Liquid Net Worth Knows ASL General Ledger Balance Sheet Custody Beneficiary Unsuitable Investment Negative Consent Series 65 Custodian Chief Compliance Officer FINRA Advertising IAR Time Horizon Concur Advisory Contract Has 4+ pets Series 66 ADV Part 2B Qualified Client Professional Designation Suitability/WSP LPOA Bourbon Street Heightened Supervision Lived/worked on a farm Form CRS ETF Trade Blotter NASAA Connect OTC Securities Missed a flight Pooled Investment Vehicle Market Index PPM Mississippi River SEC Attended a conf. before Code of Ethics Reg D NASAA Pres. Marni Gibson Bond Routine Examination Concentration Risk Cash v Accrual Solicitor Never done a reg exam RIA Income Statement- P&L Mutual Fund Annuities High Water Mark Deficiency Form U5 ADV Part 1A/Schedule A ADV Part 1B NASAA Model Rules Form U6 First time at training conf. Birthday this month Empty nester OBA ADV 2A Delivery Failure Unearned Revenue Form U4 Discretion Trusted Contact Person IAR CE Read ADV start to finish SLOA Reverse Churning Options Trading Pet other than cat/dog Financial Records Worked at an RIA before $100 Million Threshold Net Worth Cybersecurity Policy De Minimis Exemption IARD Learned a new acronym Works in regulation Traveled for an exam Knows martial arts Met a John at a conf. Deficiency Letter AUM Fee Diversification Wrap Fee Needs coffee to function Books and Records Liquid Net Worth Knows ASL General Ledger Balance Sheet Custody Beneficiary Unsuitable Investment Negative Consent Series 65 Custodian Chief Compliance Officer FINRA Advertising IAR Time Horizon Concur Advisory Contract Has 4+ pets Series 66 ADV Part 2B Qualified Client Professional Designation Suitability/WSP LPOA Bourbon Street Heightened Supervision Lived/worked on a farm Form CRS ETF Trade Blotter NASAA Connect OTC Securities Missed a flight Pooled Investment Vehicle Market Index PPM Mississippi River SEC Attended a conf. before Code of Ethics Reg D NASAA Pres. Marni Gibson Bond Routine Examination Concentration Risk Cash v Accrual Solicitor Never done a reg exam RIA Income Statement- P&L Mutual Fund Annuities High Water Mark Deficiency Form U5 ADV Part 1A/Schedule A ADV Part 1B NASAA Model Rules Form U6 First time at training conf. Birthday this month Empty nester OBA ADV 2A Delivery Failure Unearned Revenue Form U4 Discretion Trusted Contact Person IAR CE Read ADV start to finish SLOA Reverse Churning Options Trading Pet other than cat/dog Financial Records Worked at an RIA before $100 Million Threshold Net Worth Cybersecurity Policy De Minimis Exemption IARD Learned a new acronym Works in regulation Traveled for an exam Knows martial arts Met a John at a conf. Deficiency Letter AUM Fee Diversification
(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.
Wrap Fee
Needs coffee to function
Books and Records
Liquid Net Worth
Knows ASL
General Ledger
Balance Sheet
Custody
Beneficiary
Unsuitable Investment
Negative Consent
Series 65
Custodian
Chief Compliance Officer
FINRA
Advertising
IAR
Time Horizon
Concur
Advisory Contract
Has 4+ pets
Series 66
ADV Part 2B
Qualified Client
Professional Designation
Suitability/WSP
LPOA
Bourbon Street
Heightened Supervision
Lived/worked on a farm
Form CRS
ETF
Trade Blotter
NASAA Connect
OTC Securities
Missed a flight
Pooled Investment Vehicle
Market Index
PPM
Mississippi River
SEC
Attended a conf. before
Code of Ethics
Reg D
NASAA Pres. Marni Gibson
Bond
Routine Examination
Concentration Risk
Cash v Accrual
Solicitor
Never done a reg exam
RIA
Income Statement- P&L
Mutual Fund
Annuities
High Water Mark
Deficiency
Form U5
ADV Part 1A/Schedule A
ADV Part 1B
NASAA Model Rules
Form U6
First time at training conf.
Birthday this month
Empty nester
OBA
ADV 2A Delivery Failure
Unearned Revenue
Form U4
Discretion
Trusted Contact Person
IAR CE
Read ADV start to finish
SLOA
Reverse Churning
Options Trading
Pet other than cat/dog
Financial Records
Worked at an RIA before
$100 Million Threshold
Net Worth
Cybersecurity Policy
De Minimis Exemption
IARD
Learned a new acronym
Works in regulation
Traveled for an exam
Knows martial arts
Met a John at a conf.
Deficiency Letter
AUM Fee
Diversification