INDEPENDENTTRUSTEESBOOKSANDRECORDS206(4)-7ASSETSUNDERMANAGEMENTWHOLESALEBROKERDEALERICCCSECGENERALACCOUNTPERSONALSECURITIESACCOUNTREGISTEREDREPRESENTATIVESECURIANASSETMANAGEMENT(SAM)COMPLIANCEADVERTISINGSECURIANFUNDSTRUST(SFT)SUPERVISIONFORMADVRULES ANDREGULATIONSCHIEFCOMPLIANCEOFFICERBOARDMEETING38a-1SUB-ADVISORSACCESSPERSONSOUTSIDEBUSINESSACTIVITY(OBA)SOCIALMEDIAINVESTMENTCOMPANYPORTFOLIOMANAGERSSECURIANFINANCIALSERVICES(SFS)FINRAINVESTMENTADVISORINDEPENDENTTRUSTEESBOOKSANDRECORDS206(4)-7ASSETSUNDERMANAGEMENTWHOLESALEBROKERDEALERICCCSECGENERALACCOUNTPERSONALSECURITIESACCOUNTREGISTEREDREPRESENTATIVESECURIANASSETMANAGEMENT(SAM)COMPLIANCEADVERTISINGSECURIANFUNDSTRUST(SFT)SUPERVISIONFORMADVRULES ANDREGULATIONSCHIEFCOMPLIANCEOFFICERBOARDMEETING38a-1SUB-ADVISORSACCESSPERSONSOUTSIDEBUSINESSACTIVITY(OBA)SOCIALMEDIAINVESTMENTCOMPANYPORTFOLIOMANAGERSSECURIANFINANCIALSERVICES(SFS)FINRAINVESTMENTADVISOR

COMPLIANCE BINGO! - 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. INDEPENDENT TRUSTEES
  2. BOOKS AND RECORDS
  3. 206(4)-7
  4. ASSETS UNDER MANAGEMENT
  5. WHOLESALE BROKER DEALER
  6. ICCC
  7. SEC
  8. GENERAL ACCOUNT
  9. PERSONAL SECURITIES ACCOUNT
  10. REGISTERED REPRESENTATIVE
  11. SECURIAN ASSET MANAGEMENT (SAM)
  12. COMPLIANCE
  13. ADVERTISING
  14. SECURIAN FUNDS TRUST (SFT)
  15. SUPERVISION
  16. FORM ADV
  17. RULES AND REGULATIONS
  18. CHIEF COMPLIANCE OFFICER
  19. BOARD MEETING
  20. 38a-1
  21. SUB-ADVISORS
  22. ACCESS PERSONS
  23. OUTSIDE BUSINESS ACTIVITY (OBA)
  24. SOCIAL MEDIA
  25. INVESTMENT COMPANY
  26. PORTFOLIO MANAGERS
  27. SECURIAN FINANCIAL SERVICES (SFS)
  28. FINRA
  29. INVESTMENT ADVISOR