Series 24 podcast · Episode 07
Disciplinary Actions and Customer Disputes
39 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:
- Customer Complaint Recordkeeping and Reporting
- Expungement of Customer Dispute Information
- FINRA Investigations
- FINRA Code of Procedure
- Code of Arbitration Procedure
- Code of Mediation Procedure
Put this episode into practice with adaptive questions and flashcards in the full Series 24 course.