Series 6 podcast · Episode 10
Customer Communications and Records
39 min of listening
Investment Recommendations and Records. Available inside the full CertFuel Series 6 course in the app.
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 Confirmations
- Customer Account Statements
- Customer Account Records and Required Notifications
- Books and Records Retention Requirements
- Customer Account Transfers (ACATS)
- Educational Communication on Recruiting
- Account Closure Procedures
Put this episode into practice with adaptive questions and flashcards in the full Series 6 course.