Series 24 podcast · Episode 04
Conduct of Associated Persons
42 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:
- Anti-Fraud Provisions
- Misuse of Customer Assets
- Information Obtained in a Fiduciary Capacity
- Insider Trading and Material Nonpublic Information
- Market Manipulation
- Personal Trading: Outside Accounts and Transaction Review
- Outside Business Activities and Private Securities Transactions
- Borrowing From or Lending to Customers
Put this episode into practice with adaptive questions and flashcards in the full Series 24 course.