Series 82 podcast · Episode 17
Books, Records and Regulation FD
1h 8m of listening
Recommendations and Records. 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:
- Books and Records a Firm Must Make
- Retention Periods for Books and Records
- Electronic Recordkeeping and Where Records Must Live
- Ceasing Business and Continuing Record Retention
- Recordkeeping Link to the Bank Secrecy Act
- Educational Communication on Recruitment and Account Transfers
- Regulation FD: Selective Disclosure by Issuers
Put this episode into practice with adaptive questions and flashcards in the full Series 82 course.