Wisconsin (WI) AGENT FOR SECURITIES ISSUER License Learning Course

[Wisconsin (WI) AGENT FOR SECURITIES ISSUER License Learning Course] AGENT FOR SECURITIES ISSUER

This course is designed for anyone who wants to become an agent for a securities issuer. The course covers the definition of a security, the different types of securities, and the role of agents in helping companies raise capital from investors. The course also covers the requirements for becoming an agent and provides information on how investors can contact their state securities regulator if they have questions or complaints about agents or investment opportunities offered by them.

The Securities and Exchange Commission (SEC) regulates the registration of agents for issuers through Exemptions from Registration under Section 4(a)(11) of the Securities Act of 1933. Exemptions from Registration must be approved by the SEC prior to being used by an issuer or its salespersons.

A person who meets the requirements of Section 4(a)(11) is not required to register as a broker-dealer with FINRA but may be subject to other laws, including those governing state licensing requirements and federal criminal laws prohibiting fraud in interstate commerce. License Learning Course is a platform that helps students to study and learn. The platform provides all the required material for the students to study. The material includes Study guide, Exam Questions & Answers, Study Notes and other resources that are useful for the students. It also gives information about the upcoming exams so that students can prepare themselves accordingly.