Series 24 podcast · Episode 01
Broker-Dealer Registration
41 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:
- Broker, Dealer, and the Statutory Registration Trigger
- SEC, SRO, and State Registration Framework
- Registration Forms: Form BD, Form BDW, and Form BR
- FINRA Membership and Continuing Membership
- Sanctions, Misrepresentation, and SIPC
Put this episode into practice with adaptive questions and flashcards in the full Series 24 course.