Series 24 podcast · Episode 02
Associated Person Registration
46 min of listening
Registration & Personnel Management. Free audio, ready to play in your browser.
Pair listening with reading
Follow along with
the written unit.
Listen at your own pace, then use the matching lesson to revisit the details. The written material includes:
- Associated Persons and the Registration Framework
- Pre-Hire Investigation and Fingerprinting
- Forms U4 and U5: Filing and Amendment Obligations
- Registration Categories
- Registration Exemptions
- Statutory Disqualification and Eligibility Proceedings
- Heightened Supervision
- Continuing Education
Put this episode into practice with adaptive questions and flashcards in the full Series 24 course.