ExhibitCReport tocompliance3rd PartyTransferof funds3DaysConsultcomplianceNever.LowestcostOutsideBusinessActivityArchivingrequirementInsiderTradingPolicyContractIPO(orPrivateinvestments)ReportabusePreapprovalCompliancemanualConfidentialinfoPrudentInvestorActConfessit.AccessPersonConflictofInterestMediapostingsComplianceInvestmentInstructionsOne-on-oneNo.Compliancepre-approvalUp-to-dateNone.TradingVerbalconfirmationTestimonialDeclineinvitationClientconfidentialinformationITNamedropCodeofEthicsMarketingTradeerrorlogFiduciaryStockcertificatePhonecallExhibitCReport tocompliance3rd PartyTransferof funds3DaysConsultcomplianceNever.LowestcostOutsideBusinessActivityArchivingrequirementInsiderTradingPolicyContractIPO(orPrivateinvestments)ReportabusePreapprovalCompliancemanualConfidentialinfoPrudentInvestorActConfessit.AccessPersonConflictofInterestMediapostingsComplianceInvestmentInstructionsOne-on-oneNo.Compliancepre-approvalUp-to-dateNone.TradingVerbalconfirmationTestimonialDeclineinvitationClientconfidentialinformationITNamedropCodeofEthicsMarketingTradeerrorlogFiduciaryStockcertificatePhonecall

Compliance Bingo! - Call List

(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.


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  1. Exhibit C
  2. Report to compliance
  3. 3rd Party Transfer of funds
  4. 3 Days
  5. Consult compliance
  6. Never.
  7. Lowest cost
  8. Outside Business Activity
  9. Archiving requirement
  10. Insider Trading Policy
  11. Contract
  12. IPO(or Private investments)
  13. Report abuse
  14. Preapproval
  15. Compliance manual
  16. Confidential info
  17. Prudent Investor Act
  18. Confess it.
  19. Access Person
  20. Conflict of Interest
  21. Media postings
  22. Compliance
  23. Investment Instructions
  24. One-on-one
  25. No.
  26. Compliance pre-approval
  27. Up-to-date
  28. None.
  29. Trading
  30. Verbal confirmation
  31. Testimonial
  32. Decline invitation
  33. Client confidential information
  34. IT
  35. Name drop
  36. Code of Ethics
  37. Marketing
  38. Trade error log
  39. Fiduciary
  40. Stock certificate
  41. Phone call