Training Calendar (July)
Training Calendar (July)
All webinars are scheduled on EASTERN Time (ET).
Select the training session of interest to register for the webinar.
Webinar Session Descriptions
Securities America Technology Overview
An introduction to the capabilities and versatility of Securities America’s Business Center.
How to access and log into Securities America’s Business Center, configure your computer settings, and other first time user best practices.
Advisory Services Overview
Robust and versatile advisory services are a cornerstone of a successful practice. Securities America’s innovative advisory services programs, technology, tools, education and resources stand out as a powerful benefit to any practice.
Prepare and Submit Stationery Items
What is the process for submitting stationery and marketing materials for review prior to the affiliation date? Discuss the disclosure changes on stationery items including business cards, letterhead, email, and voicemail.
Review Client Account Paperwork (Pershing)
Review the pages of forms required to paper brokerage and direct sponsor accounts. Discuss best practices when completing applications.
Client Account Population Utility
Need to prepare paperwork for a new client or another registration for an existing client? Use New Business Solutions to assist with account creation. Learn how to create, submit, and follow-up on new account paperwork.
Direct Sponsor Business Processing
Do you have new or subsequent direct business to process? This session will focus on the order entry process, paperwork requirements and submission workflow on direct held mutual funds, variable annuities and life, equity indexed annuities, 529 plans, and alternative investments.
Advertising Submission Process
Submit stationery and marketing materials to Securities America for compliance review using the AdTrax system. Discuss the disclosure changes on stationery items including business cards, letterhead, email, and voicemail.
Compliance Technology Training
Learn how to use Trade Monitor for post-execution review of transactions and the Compliance Tab to upload various reports including correspondence, position, performance and gifts blotter. Demonstrate RightBRIDGE, a utility to document recommendations to clients in response to the Department of Labor fiduciary rule.
Compliance Rule 2273 – Initial Client Contact
FINRA Rule 2273, Recruitment Practices, requires representatives joining a new firm to deliver a FINRA-created educational communication upon initial contact with all former clients. This session will discuss the written, electronic, and verbal communication requirements.