Series 82 podcast · Episode 19
Complaints, Disputes and Reporting
50 min of listening
Transactions and Complaints. Free audio, ready to play in your browser.
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:
- Records of Written Customer Complaints
- Reporting Requirements to FINRA
- FINRA's Investigative Authority and Disciplinary Sanctions
- Methods of Formal Dispute Resolution
- Form U4 Reporting Requirements
Put this episode into practice with adaptive questions and flashcards in the full Series 82 course.