RecordkeepingRequirements30daysADVBrochure5yearsRegistrationAnti-FraudProvisionsLifetimeUniformSecuritiesActIssuerTransactionProspectusMarketManipulationFederallyCoveredAdvisorsNet CapitalRequirementConsentto ServiceofProcessFinancialIndustryRegulatoryAuthority(FINRA)SuitabilityExclusion/ExcludedInvestmentAdvisor Actof1940North AmericanSecuritiesAdministratorsAssociation(NASAA)Free!DiscretionaryAuthority3yearsCeaseandDesistKnowYourCustomer(KYC)Advertising andCommunicationsRulesMunicipalSecuritiesInstitutionFormBDInsiderTradingConflictofInterestIssuerAgentWashSalePromptlyInvestmentAdviserRepresentative(IAR)Self-RegulatoryOrganization(SRO)CustomerAccountRegulatoryFiling6yearsDeMinimisRuleExemptSecuritiesPrudentManRuleExemptionFederalSecuritiesAct of '33SecurityExemptTransactionsFiduciaryCorporateSecuritiesFrontRunningSECInvestmentAdviser10daysAdministratorPersonNoticeFilingBlueSkyLawsBroker-DealerMaterialFactsContinuingDisclosureSoft DollarCompensationStopOrderAccreditedInvestorFederalSecuritiesAct of '34SummaryOrderRecordkeepingRequirements30daysADVBrochure5yearsRegistrationAnti-FraudProvisionsLifetimeUniformSecuritiesActIssuerTransactionProspectusMarketManipulationFederallyCoveredAdvisorsNet CapitalRequirementConsentto ServiceofProcessFinancialIndustryRegulatoryAuthority(FINRA)SuitabilityExclusion/ExcludedInvestmentAdvisor Actof1940North AmericanSecuritiesAdministratorsAssociation(NASAA)Free!DiscretionaryAuthority3yearsCeaseandDesistKnowYourCustomer(KYC)Advertising andCommunicationsRulesMunicipalSecuritiesInstitutionFormBDInsiderTradingConflictofInterestIssuerAgentWashSalePromptlyInvestmentAdviserRepresentative(IAR)Self-RegulatoryOrganization(SRO)CustomerAccountRegulatoryFiling6yearsDeMinimisRuleExemptSecuritiesPrudentManRuleExemptionFederalSecuritiesAct of '33SecurityExemptTransactionsFiduciaryCorporateSecuritiesFrontRunningSECInvestmentAdviser10daysAdministratorPersonNoticeFilingBlueSkyLawsBroker-DealerMaterialFactsContinuingDisclosureSoft DollarCompensationStopOrderAccreditedInvestorFederalSecuritiesAct of '34SummaryOrder

Series 63 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. Recordkeeping Requirements
  2. 30 days
  3. ADV Brochure
  4. 5 years
  5. Registration
  6. Anti-Fraud Provisions
  7. Lifetime
  8. Uniform Securities Act
  9. Issuer Transaction
  10. Prospectus
  11. Market Manipulation
  12. Federally Covered Advisors
  13. Net Capital Requirement
  14. Consent to Service of Process
  15. Financial Industry Regulatory Authority (FINRA)
  16. Suitability
  17. Exclusion/Excluded
  18. Investment Advisor Act of 1940
  19. North American Securities Administrators Association (NASAA)
  20. Free!
  21. Discretionary Authority
  22. 3 years
  23. Cease and Desist
  24. Know Your Customer (KYC)
  25. Advertising and Communications Rules
  26. Municipal Securities
  27. Institution
  28. Form BD
  29. Insider Trading
  30. Conflict of Interest
  31. Issuer
  32. Agent
  33. Wash Sale
  34. Promptly
  35. Investment Adviser Representative (IAR)
  36. Self-Regulatory Organization (SRO)
  37. Customer Account
  38. Regulatory Filing
  39. 6 years
  40. De Minimis Rule
  41. Exempt Securities
  42. Prudent Man Rule
  43. Exemption
  44. Federal Securities Act of '33
  45. Security
  46. Exempt Transactions
  47. Fiduciary
  48. Corporate Securities
  49. Front Running
  50. SEC
  51. Investment Adviser
  52. 10 days
  53. Administrator
  54. Person
  55. Notice Filing
  56. Blue Sky Laws
  57. Broker-Dealer
  58. Material Facts
  59. Continuing Disclosure
  60. Soft Dollar Compensation
  61. Stop Order
  62. Accredited Investor
  63. Federal Securities Act of '34
  64. Summary Order