Series 99 podcast · Episode 08
Regulatory Financial Requirements
38 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:
- Financial and Operations Principal Responsibilities
- Financial and Operational Combined Uniform Single Report
- General Ledger
- Net Capital and the Reserve Formula Calculation
- Carrying Agreements
Put this episode into practice with adaptive questions and flashcards in the full Series 99 course.