Series 24 podcast · Episode 08
Books and Records
43 min of listening
General Broker-Dealer Supervision. 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:
- General Books-and-Records Requirements
- Records to Be Made
- Records to Be Preserved
- Nonresident Broker-Dealers
- Custodian of Books and Records
- The Taping Rule
- Other Recordkeeping Rules
Put this episode into practice with adaptive questions and flashcards in the full Series 24 course.