INVESTMENTCOMPANYWHOLESALEBROKERDEALERBOOKSANDRECORDSCOMPLIANCESECURIANFUNDSTRUST(SFT)FORMADVSECURIANFINANCIALSERVICES(SFS)SECURIANASSETMANAGEMENT(SAM)CHIEFCOMPLIANCEOFFICERSECACCESSPERSONSSUPERVISIONINDEPENDENTTRUSTEES38a-1FINRAREGISTEREDREPRESENTATIVEADVERTISINGRULES ANDREGULATIONS206(4)-7INVESTMENTADVISERBOARDMEETINGASSETSUNDERMANAGEMENTGENERALACCOUNTSOCIALMEDIAOUTSIDEBUSINESSACTIVITY(OBA)PORTFOLIOMANAGERSSUB-ADVISERSICCCPERSONALSECURITIESACCOUNTINVESTMENTCOMPANYWHOLESALEBROKERDEALERBOOKSANDRECORDSCOMPLIANCESECURIANFUNDSTRUST(SFT)FORMADVSECURIANFINANCIALSERVICES(SFS)SECURIANASSETMANAGEMENT(SAM)CHIEFCOMPLIANCEOFFICERSECACCESSPERSONSSUPERVISIONINDEPENDENTTRUSTEES38a-1FINRAREGISTEREDREPRESENTATIVEADVERTISINGRULES ANDREGULATIONS206(4)-7INVESTMENTADVISERBOARDMEETINGASSETSUNDERMANAGEMENTGENERALACCOUNTSOCIALMEDIAOUTSIDEBUSINESSACTIVITY(OBA)PORTFOLIOMANAGERSSUB-ADVISERSICCCPERSONALSECURITIESACCOUNT

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