Series 63 podcast · Episode 05
Broker-Dealer Agent Supervision
54 min of listening
Regulations of Broker-Dealers. 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:
- Broker-Dealer Supervision: WSPs and Office Inspections
- Supervisory Liability and Failure to Supervise
Put this episode into practice with adaptive questions and flashcards in the full Series 63 course.