Free! 3 years 6 years Fiduciary Soft Dollar Compensation Promptly Material Facts Prospectus Regulatory Filing Know Your Customer (KYC) Federal Securities Act of '34 Lifetime ADV Brochure Market Manipulation Insider Trading Municipal Securities Blue Sky Laws SEC Person North American Securities Administrators Association (NASAA) Cease and Desist 30 days Broker- Dealer Institution Conflict of Interest Investment Advisor Act of 1940 Suitability Summary Order Exemption 10 days Advertising and Communications Rules Wash Sale Exempt Securities Front Running Self- Regulatory Organization (SRO) Investment Adviser Representative (IAR) Administrator Recordkeeping Requirements Discretionary Authority Security Customer Account Investment Adviser Form BD Continuing Disclosure Consent to Service of Process Corporate Securities Net Capital Requirement Agent Stop Order Uniform Securities Act Federal Securities Act of '33 Accredited Investor Anti- Fraud Provisions Issuer Notice Filing 5 years Prudent Man Rule Registration Exclusion/Excluded Federally Covered Advisors Financial Industry Regulatory Authority (FINRA) De Minimis Rule Exempt Transactions Issuer Transaction Free! 3 years 6 years Fiduciary Soft Dollar Compensation Promptly Material Facts Prospectus Regulatory Filing Know Your Customer (KYC) Federal Securities Act of '34 Lifetime ADV Brochure Market Manipulation Insider Trading Municipal Securities Blue Sky Laws SEC Person North American Securities Administrators Association (NASAA) Cease and Desist 30 days Broker- Dealer Institution Conflict of Interest Investment Advisor Act of 1940 Suitability Summary Order Exemption 10 days Advertising and Communications Rules Wash Sale Exempt Securities Front Running Self- Regulatory Organization (SRO) Investment Adviser Representative (IAR) Administrator Recordkeeping Requirements Discretionary Authority Security Customer Account Investment Adviser Form BD Continuing Disclosure Consent to Service of Process Corporate Securities Net Capital Requirement Agent Stop Order Uniform Securities Act Federal Securities Act of '33 Accredited Investor Anti- Fraud Provisions Issuer Notice Filing 5 years Prudent Man Rule Registration Exclusion/Excluded Federally Covered Advisors Financial Industry Regulatory Authority (FINRA) De Minimis Rule Exempt Transactions Issuer Transaction
(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.
Free!
3 years
6 years
Fiduciary
Soft Dollar Compensation
Promptly
Material Facts
Prospectus
Regulatory Filing
Know Your Customer (KYC)
Federal Securities Act of '34
Lifetime
ADV Brochure
Market Manipulation
Insider Trading
Municipal Securities
Blue Sky Laws
SEC
Person
North American Securities Administrators Association (NASAA)
Cease and Desist
30 days
Broker-Dealer
Institution
Conflict of Interest
Investment Advisor Act of 1940
Suitability
Summary Order
Exemption
10 days
Advertising and Communications Rules
Wash Sale
Exempt Securities
Front Running
Self-Regulatory Organization (SRO)
Investment Adviser Representative (IAR)
Administrator
Recordkeeping Requirements
Discretionary Authority
Security
Customer Account
Investment Adviser
Form BD
Continuing Disclosure
Consent to Service of Process
Corporate Securities
Net Capital Requirement
Agent
Stop Order
Uniform Securities Act
Federal Securities Act of '33
Accredited Investor
Anti-Fraud Provisions
Issuer
Notice Filing
5 years
Prudent Man Rule
Registration
Exclusion/Excluded
Federally Covered Advisors
Financial Industry Regulatory Authority (FINRA)
De Minimis Rule
Exempt Transactions
Issuer Transaction