Series 24 podcast · Episode 03
Written Supervisory Procedures and Controls
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:
- The Supervisory System Foundation
- Office Classifications and Inspections
- Supervisory Control System
- CEO Annual Certification
- Business Continuity Plans
- Member Filing and Contact Information
- Availability of the FINRA Manual
Put this episode into practice with adaptive questions and flashcards in the full Series 24 course.