Series 65 podcast · Episode 33
Broker-Dealer Regulation
1h 2m of listening
Legal Framework. 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:
- Definitions of Broker-Dealers
- Registration and Post-Registration
Put this episode into practice with adaptive questions and flashcards in the full Series 65 course.