RIABOOKS &RECORDSSLOAPRIVACYPOLICYCOMPLIANCEMANUALCHIEFCOMPLIANCEOFFICERCONFLICTOFINTERESTINSIDERTRADINGPOLICYVULNERABLECLIENTADV2BRuleDODD-FRANKACTEXHIBITBFIDUCIARYCODEOFETHICSOBARRDREDFLAGPOLICYINTEGRITYDUEDILIGENCECRSSECANTI MONEYLAUNDERINGCyberSecurityPORTFOLIOSUITABILITYRIABOOKS &RECORDSSLOAPRIVACYPOLICYCOMPLIANCEMANUALCHIEFCOMPLIANCEOFFICERCONFLICTOFINTERESTINSIDERTRADINGPOLICYVULNERABLECLIENTADV2BRuleDODD-FRANKACTEXHIBITBFIDUCIARYCODEOFETHICSOBARRDREDFLAGPOLICYINTEGRITYDUEDILIGENCECRSSECANTI MONEYLAUNDERINGCyberSecurityPORTFOLIOSUITABILITY

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