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