PRACTICAL APPROACH TO SECURITIES REGISTRATION AND COMPLIANCE
- · August 25, 2:30-4:30 Eastern
- · Instructor led, Interactive
- · $149 Enrollment Fee (2-hour class)
- · Large Group Discounts Available
Have questions on securities and compliance? Get up-to-speed with this 2-hour class that drives you through the regulatory environment and routes you to the answers. It’s a fact-filled, interactive session offering a high-level overview of securities registration and compliance issues while steering you away from regulatory roadblocks.
ENROLL: https://silafoundation.org/2025-virtual-classes/
-SILA Certification: Required Course Option
-SILA Associate: Required Course Option
-SILA Professional Development: 4 SILA CE Credits
Enrollment closes 24 hours prior to the first class session.
FUNDAMENTALS OF BROKER-DEALER REGISTRATION MANAGEMENT
- · August 29, 2:30-4:30 Eastern
- · Instructor led, Interactive
- · $149 Enrollment Fee (2-hour class)
- · Large Group Discounts Available
This 2-hour course will cover the fundamentals of producer licensing, such as licensing terminology, regulatory processes, and producer/carrier requirements. The agenda will cover some of these topics: Introduction to Insurance Licensing, Maintaining a License, Variable Licensing, Licensing Agencies and Legalities.
ENROLL: https://silafoundation.org/2025-virtual-classes/
-SILA Certification: Required Course Option
-SILA Associate: Required Course Option
-SILA Professional Development: 4 SILA CE Credits
Enrollment closes 24 hours prior to the first class session.
#Securities