Series 24 podcast · Episode 05
Compensation Practices
38 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:
- Networking Arrangements
- Payments to Unregistered Persons
- Cash and Non-Cash Compensation
- Gifts and Gratuities
- Persons Exempt from Registration
- Recordkeeping for Compensation
Put this episode into practice with adaptive questions and flashcards in the full Series 24 course.