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