Series 7 podcast · Episode 30
Account Communications and Records
40 min of listening
Analysis, Recommendations & Disclosures. Available inside the full CertFuel Series 7 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:
- Customer Confirmations
- Customer Account Statements
- Account Value, Profits, and Losses
- Withdrawals and Tenders
- Customer Account Records
- Account Transfers Between Broker-Dealers
- Books and Records Retention Requirements
- Account Closure Procedures
- Regulatory Reporting and Disclosures
Put this episode into practice with adaptive questions and flashcards in the full Series 7 course.