FINRA is offering an IAR CE Program Overview webinar in November...Access announcement here #FINRA #Securities #RegulatoryUpdates
SILA News & Updates including recap of the National Education Conference Securities Open Forum FINRA Regulatory Element CE IAR CE EVEP FINRA renewal cycle Insurance Open Forum Open Discussion & 2024 meeting dates Chapter Chair: Lora Herman Email: Lora.Herman@colliers.com #Chapters
The following charts have been updated: Appointment Processing for Licensed Producers FINRA Administered Qualification Examinations Individual and Entity License and Appointment Fee Individual License Renewal and Reinstatement Long-Term Care Educational Requirements Prelicense Education Requirements Securities State Fee You can access the charts at this link: Resources #General #SILADigest
Annuity Suitability and Best Interest Standards updated for IN, NH, and VT Appointment Lines of Authority FINRA Administered Exams Portable Electronics License Requirements Renewing the Appointment Securities State Fees You can find the full set of resources here
Annuity Suitability and Best Interest Training Appointment Process for Licensed Producers Appointment Renewal Individual and Entity License Appointment Fees Individual License Renewal and Reinstatement FINRA Administered Qualification Examinations Long-Term Care Education Requirements Notice of Termination Prelicense Education Securities State Fees You can find the full set of resources here
The Education Committee recently approved 2 new qualifications. They are: FINRA Series 99 SILA Foundation Professional Certification We know many of you will be happy to see the addition of the Professional Certification to the list of approved qualifications
These charts have been updated: Agency Licensing Requirements QuickGuide Agent Licensing Requirements QuickGuide Annuity Suitability and Best Interest Training QuickGuide Appointment Renewal QuickGuide Continuing Education Requirements QuickGuide Education Provider QuickGuide FINRA Administered Qualification Examinations QuickGuide Individual and Entity License and Appointment Fee QuickGuide Individual License Renewal and Reinstatement QuickGuide Notice of Termination QuickGuide Prelicense Education Requirements QuickGuide Reporting of Administrative and Criminal Actions Securities State Fee QuickGuide To access these charts go to Resources
FCRA/EEOC framework Clean slate and limited access impacts on courts FINRA new fingerprint rules Adverse Action based on Criminal History – Not Just FCRA anymore Sanctions Monitoring – Consumer Reports Registration is required to attend this FREE , public webinar
The following SILA Digest Charts have been updated in April and May 2024: Adjuster Continuing Education QuickGuide Annuity Suitability and Best Interest Training QuickGuide Appointment Processing for Licensed Producers QuickGuide Commission Payment QuickGuide Education Provider QuickGuide FINRA Administered Qualification Examinations QuickGuide Individual and Entity License and Appointment Fee QuickGuide Individual License Renewal and Reinstatement QuickGuide Limited Line Credit QuickGuide Long-Term Care Educational Requirements QuickGuide Prelicense Education Requirements QuickGuide Securities State Fee QuickGuide State Contact Information QuickGuide These charts are available in the Member's Only Resources which are found here
This webinar will focus on best practices for FINRA compliance when using social media and highlight recent regulatory actions as cautionary takeaways