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General Information

The Legal Compliance Department and the Policy and Training Department are your trusted, comprehensive sources of information regarding the surplus line industry and regulatory requirements, and we are committed to serving our members by offering a variety of services.

Legal Compliance Department

The Legal Compliance Department supports the SLA’s own compliance needs and also serves as a resource to our members for guidance and training on compliance matters. Our goal is to help our members achieve 100% compliance. Here are some of the services that we provide:

  • Compliance Connections: Periodic webinars that highlight various compliance topics of interest to our members such as the new SL-2 form, the process to obtain and maintain a surplus line broker license, and the annual tax filing process.
  • Bulletins: Notices to our members that update and provide guidance regarding compliance developments affecting the surplus line market.  Examples include the updated requirement to display the California license number on broker-agent email, the release of the new SL-2 form, use of third-party filers to make surplus line filings, and the broker’s statutory obligation to ensure carrier eligibility.
  • Legislative/Regulatory Information: Collaboration with the California Department of Insurance (CDI) to provide analysis, recommendations, and information in connection with existing and proposed laws and regulations. We also assist with CDI inquiries about surplus line brokers and insurers, investigate compliance issues, and recommend corrective action.

Contact the Legal Compliance Department at

Policy and Training Department 

The Policy and Training Department, also known as the Education Department, is dedicated to providing a broad education program that fits the needs of all our members. Here are the complimentary services that we provide:

  • Continuing Education Courses: The SLA Education Department offers live webinar courses throughout the year as well as an on-demand library of courses that can be taken at any time. Topics are focused on current trends and emerging risks to assist our membership in staying current on the marketplace, as well as new and pending legislation. All courses are approved by the CDI for continuing education credit for resident property and casualty broker-agents. You can visit our SLA Learning Center to create an account and register for courses.
  • 2-Day SLA CE Conference: This in-person conference provides the opportunity to complete up to 12 continuing education credits and to connect with the larger SLA community, explore how the SLA can benefit your business and network, and create new partnerships with other state SLAs.
  • 2-Hour Regulatory Training – An Introduction to California Surplus Line Regulation: California requires surplus line business entities to provide two hours of training every five years to their employees who solicit, negotiate, or effect insurance coverage placed with a surplus line insurer. The training requirement applies to both California residents and non-residents. The SLA’s An Introduction to California Surplus Line Regulation meets this training requirement and can also be useful background for all employees whose duties touch surplus line insurance. This course is not eligible for CE credits.

Contact the Education Department at