Series 99 podcast · Episode 01
Account Opening and Maintenance
39 min of listening
Broker-Dealer Operations. 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:
- Customer Account Types and Registrations
- Retirement Accounts and Asset Movement
- Account Opening Authority and Documentation
- Customer Information, Documentation, and Know Your Customer
- Maintenance of Account Records and Activity
- Products and Account-Specific Disclosures
Put this episode into practice with adaptive questions and flashcards in the full Series 99 course.