# [Series 65] 62, Custody Rules and Safeguarding Client Assets

Page: https://stenobird.com/podcast/open-exam-prep-7140559/series-65-62-custody-rules-and-safeguarding-client-assets
Text version: https://stenobird.com/podcast/open-exam-prep-7140559/series-65-62-custody-rules-and-safeguarding-client-assets.md
Podcast: [Open Exam Prep](https://stenobird.com/podcast/open-exam-prep-7140559)
Published: 2026-05-25T01:01:53+00:00
Episode link: https://open-exam-prep.captivate.fm/episode/series-65-62-custody-rules-and-safeguarding-client-assets
Audio file: https://episodes.captivate.fm/episode/ccd23d43-da1b-4475-a1e3-93543799b0f8.mp3
Processing state: not_requested
JSON: https://stenobird.com/v1/public/podcasts/open-exam-prep-7140559/episodes/series-65-62-custody-rules-and-safeguarding-client-assets
Duration seconds: 235

## Resource

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams. In this episode you will learn: - The broad definition of "custody" and how it's tested on the exam. - The critical role and requirements of a qualified custodian. - The purpose and exceptions to the annual surprise examination rule. - How custody is disclosed on Form ADV. - The concept of inadvertent custody and common exam traps associated with it. For more free exam prep tools, practice questions, and AI-powered explanations, visit https://open-exam-prep.com/ or YouTube Channel: https://www.youtube.com/@Open-exam-prep

## Actions

- request_transcript: `POST https://stenobird.com/v1/public/podcasts/open-exam-prep-7140559/episodes/series-65-62-custody-rules-and-safeguarding-client-assets/transcription-requests` — Idempotently request low-priority transcript generation for this episode.
- read_markdown: `GET https://stenobird.com/podcast/open-exam-prep-7140559/series-65-62-custody-rules-and-safeguarding-client-assets.md` — Read the agent-friendly Markdown representation of this episode resource.

A page view does not enqueue transcription. Agents should invoke `request_transcript` explicitly when they need this episode processed.

## Transcript

Full transcripts are not published on public pages unless there is a clear rights basis.