Series 63 podcast · Episode 07
Registration and Post-Registration
1h 7m of listening
Regulations of Agents 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:
- Agent Registration Requirements
- Post-Registration Obligations for Agents
- Denial, Suspension, Revocation, and Cancellation of Agent Registration
- Updating Uniform Forms (Form U4 Amendments)
- Agent Conduct Requirements
- Notification of Status Changes
Put this episode into practice with adaptive questions and flashcards in the full Series 63 course.