Resource Center: News & Updates

Featured Career articles

Series 7 exam

Continuing Education’s Role in the Marketplace

Government and industry compliance and regulatory requirements heavily impact the financial securities industry. Along with these enforced protocols, firms are expected to conduct business using good ethical and sales practice standards. In the securities marketplace, because securities regulations are consistently in flux, continuing education…

Understanding Regulation Best Interest

SEC Rules and Interpretations for Broker-Dealer Standard of Conduct On June 5th, 2019, the SEC adopted a package of rule-makings and interpretations that are designed to enhance the quality and transparency of retail investors’ relationships with investment advisers and broker-dealers. Specifically, these actions include…

STC’s New Podcast Series

STC Announces its new podcast series! Todd Rosenfeld, Chief Learning Officer with Securities Training Corporation, explains how the securities industry works, the organizations that help regulate the industry, the types of exams to become licensed and what you are allowed to do with a…

STC -COVID-19 Update (Podcast)

Todd Rosenfeld, Chief Learning Officer provides an update to STC’s response to the current COVID-19 pandemic. This podcast features STC’s virtual capabilities for distance learning. STC’s response includes extending access of its materials to thousands of existing students, allowing them to continue their studies…

STC – $10 off your next licensing course

STC Customer Thank You Discount Code Get $10 off  SIE or Top Off Courses As a special thanks for our clients, we are offering $10 off all SIE and other Securities Licensing Courses. Why appreciate yourself or your employees by purchasing a course to…

CE Training in 2020

What You Need to Know about CE Training in 2020 (Download)

What You Need to Know about CE Training in 2020 FINRA and NASAA issued releases regarding Continuing Education requirements. STC’s recent webinar describes the proposed changes and discusses the following topics: NASAA Proposal for CE Program/CE Training for Investment advisor representatives Review of FINRA’s…

Testimonials