Series 63 podcast · Episode 21
Customer Funds and Securities
57 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:
- Custody of Customer Funds and Securities
- Safekeeping and Commingling Prohibitions
- Discretionary Authority
- Trading Authorization
- Applicable Standard of Care
Put this episode into practice with adaptive questions and flashcards in the full Series 63 course.