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Securities Operations Forum now offers an exciting new e-Learning program with a comprehensive list of courses on topics across the securities industry. You can either take individual e-learning courses or take the courses towards a complete credential.

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Get Certified!

There are two programs:

Participate in the Securities Industry Professional (SIP) Credential Program - developed by Securities Operations Institute and ISITC
Become certified by the Securities Operations Institute as either an SOI Certified Processing Master or an SOI Certified Processing Specialist depending on your experience in the industry.

Learn more about the applications and course requirements »

Custom Training

Customize content by combining topics or tuning the focus to the needs of your group.

If you have several people who need to be trained, or if the listed courses do not cover the material you need, custom training may be your solution.

Cancellation Policy

Up to 2 weeks prior to class date - full reimbursement
Up to 7 days prior to class date - credit towards another class (credit must be used within 1 year)
Substitutions for classroom training are permitted at any time

For more information regarding administrative policies such as complaint and refund, please contact: Eileen Haeger at (212) 328-2500 x235

Classroom Training

Securities Operations Forum offers open enrollment courses focused on topics of interest to operations professionals in the financial industry. These classes are held in New York, Boston, San Francisco and Chicago. The small size of the classes encourages students to interact with our instructors who are all practicing professionals in the financial industry.

Course Categories

Introduction to the Securities Industry
International Issues
Corporate Actions
Capital Markets
Portfolio Management
Managing Risk
Financial Management
Fixed Income Securities
Accounting, Regulatory & Management
Mutual Funds

Attendees work at

Investment Managers
Insurance Companies
Mutual Funds
Industry Infrastructure
Consulting Companies

Class Times
One day courses are 9:30am to 4:30pm with 1 hour for lunch.
Two day courses are two consecutive full day classes, 9:30am to 4:30pm with 1 hour for lunch.

All classes will be conducted at 30 Broad Street, in the heart of New York City's financial district, adjacent to the New York Stock Exchange.

To register for a class, browse through the calendar or course descriptions to select a course and then follow the links for online registration. If you prefer, call 212 328 2500 x235 to register for a class.

Click here for a list of training locations or for directions to Securities Operations Forum in New York.

CPE Credit
Securities Operations Forum is a registered sponsor with NASBA and the New York State Education Board and grants CPE credit for classroom courses.

Securities Operations Forum (Div. of The Summit Group) is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN, 37219- 2417 or by visiting the web site:
Delivery Method: All of our classroom courses are “Group-Live”

Advance Preparation: There is no advanced preparation required for our classroom courses.