Series 24 podcast · Episode 20
Broker Dealer Supervision
1h 5m of listening
Final Review. 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:
- Written Supervisory Procedures and Controls
- Conduct of Associated Persons
- Compensation Practices
- Product and Service Supervision
- Disciplinary Actions and Customer Disputes
- Books and Records
- Financial Responsibility and Funding
Put this episode into practice with adaptive questions and flashcards in the full Series 24 course.