FIDUCIARYBOOKS &RECORDSSECPRIVACYPOLICYDUEDILIGENCECRSCyberSecurityCODEOFETHICSOBAREDFLAGPOLICYINSIDERTRADINGPOLICYSLOAADV2BRuleCHIEFCOMPLIANCEOFFICERCONFLICTOFINTERESTDODD-FRANKACTPORTFOLIOSUITABILITYANTI MONEYLAUNDERINGINTEGRITYCOMPLIANCEMANUALRRDRIAVULNERABLECLIENTEXHIBITBFIDUCIARYBOOKS &RECORDSSECPRIVACYPOLICYDUEDILIGENCECRSCyberSecurityCODEOFETHICSOBAREDFLAGPOLICYINSIDERTRADINGPOLICYSLOAADV2BRuleCHIEFCOMPLIANCEOFFICERCONFLICTOFINTERESTDODD-FRANKACTPORTFOLIOSUITABILITYANTI MONEYLAUNDERINGINTEGRITYCOMPLIANCEMANUALRRDRIAVULNERABLECLIENTEXHIBITB

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