Series 7 podcast · Episode 07
Account Supervision and Approvals
38 min of listening
Customer Accounts & Suitability. Free audio, ready to play in your browser.
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Follow along with
the written unit.
Listen at your own pace, then use the matching lesson to revisit the details. The written material includes:
- The Supervisory System
- Required Approvals and Documentation
- Written Supervisory Procedures (WSPs)
- Supervisory Control System
- Account Maintenance and Ongoing Review
- Safeguarding Customer Assets
- Refusing, Restricting, or Closing Accounts
- Municipal Securities Supervision
- Options Account Supervision
Put this episode into practice with adaptive questions and flashcards in the full Series 7 course.