Series 66 podcast · Episode 32
Ethical Practices and Fiduciary Obligations
1h 17m of listening
Laws, Regulations & Ethics. Available inside the full CertFuel Series 66 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:
- Compensation
- Client Funds and Securities
- Conflicts of Interest and Fiduciary Considerations
- Cybersecurity, Privacy, and Data Protection
- Business Continuity Plans
Put this episode into practice with adaptive questions and flashcards in the full Series 66 course.