ASSETSUNDERMANAGEMENTBOOKSANDRECORDSCOMPLIANCECHIEFCOMPLIANCEOFFICER206(4)-7BOARDMEETINGSUPERVISIONREGISTEREDREPRESENTATIVEFINRAOUTSIDEBUSINESSACTIVITY(OBA)INDEPENDENTTRUSTEESWHOLESALEBROKERDEALERPORTFOLIOMANAGERSSECURIANASSETMANAGEMENT(SAM)SOCIALMEDIASUB-ADVISERSSECURIANFUNDSTRUST(SFT)SECURIANFINANCIALSERVICES(SFS)ICCC38a-1ACCESSPERSONSSECRULES ANDREGULATIONSADVERTISINGFORMADVINVESTMENTCOMPANYGENERALACCOUNTPERSONALSECURITIESACCOUNTINVESTMENTADVISERASSETSUNDERMANAGEMENTBOOKSANDRECORDSCOMPLIANCECHIEFCOMPLIANCEOFFICER206(4)-7BOARDMEETINGSUPERVISIONREGISTEREDREPRESENTATIVEFINRAOUTSIDEBUSINESSACTIVITY(OBA)INDEPENDENTTRUSTEESWHOLESALEBROKERDEALERPORTFOLIOMANAGERSSECURIANASSETMANAGEMENT(SAM)SOCIALMEDIASUB-ADVISERSSECURIANFUNDSTRUST(SFT)SECURIANFINANCIALSERVICES(SFS)ICCC38a-1ACCESSPERSONSSECRULES ANDREGULATIONSADVERTISINGFORMADVINVESTMENTCOMPANYGENERALACCOUNTPERSONALSECURITIESACCOUNTINVESTMENTADVISER

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