Series 24 podcast · Episode 12

Recommendations and Disclosures

20 min of listening
Customer-Related Activities. Free audio, ready to play in your browser.

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Listen at your own pace, then use the matching lesson to revisit the details. The written material includes:

Know Your Customer and Suitability
Regulation Best Interest
Form CRS
Markups, Markdowns, and Commissions
Discretionary Accounts
Day-Trading Rules
Breakpoint Sales
Customer Disclosures
Other Account-Activity Controls
Red-Flag Recognition, Investigation, and Escalation

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