Series 99 podcast · Episode 09
Books and Records
40 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:
- Reconciliations and Current Records
- Timeline for Posting Entries
- Preservation and Electronic Storage
- Prohibited Books-and-Records Conduct
Put this episode into practice with adaptive questions and flashcards in the full Series 99 course.