Series 24 podcast · Episode 06
Product and Service Supervision
43 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:
- New Product Due Diligence and Approval
- Suitability Framework for Products and Services
- Variable Contracts
- Investment Companies and the ICA
- Securities Exchange Act Definitions
- Securities Act of 1933 Exemptions
- Trust Indenture Act of 1939
- Membership Application Program
Put this episode into practice with adaptive questions and flashcards in the full Series 24 course.