Series 63 podcast · Episode 20
Compensation
56 min of listening
Ethical Practices and Obligations. Available inside the full CertFuel Series 63 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:
- Broker-Dealer Compensation Methods
- Fair Prices and Commissions
- NASAA Dishonest Practices: Compensation Provisions
- Compensation in Connection with Investment Company Shares
- Soft Dollar Arrangements
- IA Compensation Restrictions
- Regulation Best Interest (Reg BI)
- Disclosure of Compensation
Put this episode into practice with adaptive questions and flashcards in the full Series 63 course.