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