CHIEFCOMPLIANCEOFFICERCRSBOOKS &RECORDSINSIDERTRADINGPOLICYSECRRDVULNERABLECLIENTPRIVACYPOLICYINTEGRITYREDFLAGPOLICYSLOAPORTFOLIOSUITABILITYANTI MONEYLAUNDERINGADV2BRuleDUEDILIGENCEEXHIBITBCOMPLIANCEMANUALRIACyberSecurityDODD-FRANKACTFIDUCIARYCONFLICTOFINTERESTOBACODEOFETHICSCHIEFCOMPLIANCEOFFICERCRSBOOKS &RECORDSINSIDERTRADINGPOLICYSECRRDVULNERABLECLIENTPRIVACYPOLICYINTEGRITYREDFLAGPOLICYSLOAPORTFOLIOSUITABILITYANTI MONEYLAUNDERINGADV2BRuleDUEDILIGENCEEXHIBITBCOMPLIANCEMANUALRIACyberSecurityDODD-FRANKACTFIDUCIARYCONFLICTOFINTERESTOBACODEOFETHICS

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