Series 99 podcast · Episode 13
Broker-Dealer Supervision and Control
34 min of listening
Professional Conduct and Controls. 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:
- Key Controls and Segregation of Duties
- Written Supervisory Procedures
- Business Continuity Plan
Put this episode into practice with adaptive questions and flashcards in the full Series 99 course.