Series 57 podcast · Episode 13
Identifying and Avoiding Prohibited Practices with Customer Orders
1h 1m of listening
Handling Customer Orders. 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:
- Trading Ahead of Customer Orders
- Exceptions to the Trading Ahead Prohibition
- Minimum Price Improvement Standards
- Order Handling Procedures and Trading Hours
- Use of Manipulative or Deceptive Devices
- Prohibited Transactions of Investment Advisers
Put this episode into practice with adaptive questions and flashcards in the full Series 57 course.