Series 7 podcast · Episode 35
Complaints and Dispute Resolution
44 min of listening
Trading & Settlement. 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:
- Erroneous Reports, Errors, Cancels, and Rebills
- Clearly Erroneous Transactions
- Customer Complaints
- Regulatory Reporting Requirements
- FINRA Investigations and Sanctions
- Methods of Formal Dispute Resolution
- Mediation
- Litigation
Put this episode into practice with adaptive questions and flashcards in the full Series 7 course.