Series 99 podcast · Episode 03
Custody and Control of Securities
41 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:
- Custody, Safekeeping, and Customer Asset Protection
- Securities Counts, Stock Records, and Verification
- Securities Transfers and Delivery
- Stock Legends and Restricted Securities
- Holding Periods and Legend Removal
Put this episode into practice with adaptive questions and flashcards in the full Series 99 course.