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