Series 99 podcast · Episode 10
Relationships and Dealings
40 min of listening
Professional Conduct and Controls. 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:
- Methods of Communication
- Nonpublic Personal Information
- Commission Management and Soft Dollars
- Commission Payments to Unregistered Persons
- Vendor Selection Due Diligence
Put this episode into practice with adaptive questions and flashcards in the full Series 99 course.