SECCONFLICTOFINTERESTCHIEFCOMPLIANCEOFFICERDODD-FRANKACTINTEGRITYVULNERABLECLIENTFIDUCIARYCODEOFETHICSINSIDERTRADINGPOLICYDUEDILIGENCERIAREDFLAGPOLICYOBACRSCOMPLIANCEMANUALCyberSecurityPORTFOLIOSUITABILITYPRIVACYPOLICYANTI MONEYLAUNDERINGEXHIBITBBOOKS &RECORDSSLOARRDADV2BRuleSECCONFLICTOFINTERESTCHIEFCOMPLIANCEOFFICERDODD-FRANKACTINTEGRITYVULNERABLECLIENTFIDUCIARYCODEOFETHICSINSIDERTRADINGPOLICYDUEDILIGENCERIAREDFLAGPOLICYOBACRSCOMPLIANCEMANUALCyberSecurityPORTFOLIOSUITABILITYPRIVACYPOLICYANTI MONEYLAUNDERINGEXHIBITBBOOKS &RECORDSSLOARRDADV2BRule

COMPLIANCE ERISA - 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. SEC
  2. CONFLICT OF INTEREST
  3. CHIEF COMPLIANCE OFFICER
  4. DODD-FRANK ACT
  5. INTEGRITY
  6. VULNERABLE CLIENT
  7. FIDUCIARY
  8. CODE OF ETHICS
  9. INSIDER TRADING POLICY
  10. DUE DILIGENCE
  11. RIA
  12. RED FLAG POLICY
  13. OBA
  14. CRS
  15. COMPLIANCE MANUAL
  16. Cyber Security
  17. PORTFOLIO SUITABILITY
  18. PRIVACY POLICY
  19. ANTI MONEY LAUNDERING
  20. EXHIBIT B
  21. BOOKS & RECORDS
  22. SLOA
  23. RRD
  24. ADV 2B Rule