The Series 99 audio companion
Make room for
a little listening.
Broker-dealer operations, controls, and professional conduct. Take the course with you, one conversation at a time.
14
episodes. Your pace.
About 9 hours of audio, organized in course order.
Free to listen. No account needed.
Your listening list
The whole course,
one episode at a
time.
Broker-Dealer Operations
9 episodes · 5h 45m
- Episode 01 Account Opening and Maintenance 39 min Details ↗
- Episode 02 Cashiering and Account Transfers 33 min Details ↗
- Episode 03 Custody and Control of Securities 41 min Details ↗
- Episode 04 Trade Reporting and Corrections 39 min Details ↗
- Episode 05 Margin and Securities Lending 39 min Details ↗
- Episode 06 Settlement 35 min Details ↗
- Episode 07 Account Statements and Confirmations 41 min Details ↗
- Episode 08 Regulatory Financial Requirements 38 min Details ↗
- Episode 09 Books and Records 40 min Details ↗
Professional Conduct and Controls
4 episodes · 2h 24m
Final Review
1 episode · 1h 6m
Build a study rhythm
Listen. Check it.
Make it stick.
Listen to a unit, then try a few questions before moving on. If a distinction is still fuzzy, open the matching written lesson from the player.
A few listening notes
Can I listen without an account?
Yes. Every episode on this page plays directly in your browser, with no signup required.
Is this an audiobook or a podcast?
It is an audio companion to the Series 99 course, with 14 episodes organized by course unit. Use it alongside the written lessons rather than as a word-for-word reading of the textbook.
Will it remember where I stopped?
With JavaScript enabled, the player saves your episode, listening position, and playback speed in this browser, separately for each course. It does not sync between devices. Private browsing or clearing browser storage can remove your saved place.
Should I use audio instead of practice questions?
Use both. Audio gives you another way to study the concepts; answering questions helps you check whether you can apply them. Pair each episode with the matching written lesson and practice in the CertFuel Series 99 course.