Resource Center: News & Updates

Featured News & Updates articles

New Regulation Best Interest Rules (Podcast)

Learn about the four components of the SEC’s new Regulation Best Interest rule that went into effect June 30, 2020 from STC’s Chief Learning Officer, Todd Rosenfeld.  Todd breaks down the new rules and interpretations designed to enhance the quality of retail investors’ relationships…

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…

Student Performance Manager

Important Information Regarding Our Student Performance Manager

Our Student Performance Manager will be moving to MYSTCUSA.com. Along with the platform move, we are adding some additional upgrades and features: Added Groups/Categories to our classes feature. Now you can break your groups into smaller subsets. For example: Regional/Branch or Class/Trainer Login has become easier…

FINRA’s 2019 Risk Monitoring and Examination Priorities

FINRA’s 2019 Risk Monitoring and Examination Priorities

  FINRA‘s 2019 Risk Monitoring and Examination Priorities Letter is out, and it highlights this year’s new priorities and identifying areas of ongoing concern that FINRA will focus on in the coming year. Priorities for 2019 include enforcement, trading or churning for quantitative suitability,…

STC dashboard

STC Has Upgraded The Dashboard Experience

 STC Has Upgraded the Dashboard Experience We have listened to students concerns and have launched new upgrades to the student experience Dashboard Enhancements Completion status of each product is now displayed Dashboard now supports LAH Certificate courses Dashboard now supports LAH Locked states Expiration…

FINRA Examination Process

FINRA’s Member Firm Examination Process

Updates to FINRA’s member firm examination process FINRA examiners have the difficult task of reviewing member firms and assessing risk. This association regulates more than 3,700 brokerages and 630,000 registered representatives in total. In order to help improve their member firm examination process, FINRA…

retirement plan

Retirement Plan Changes for 2019

Retirement Plan Changes for 2019 Effective Jan 1st, 2019 the following are in effect.  Excluding Individual Retirement Accounts (IRA’s) these numbers are generally not tested on licensing exams.  Since a person can contribute up to April 15th, 2019 for their 2018 IRA our courses…

series 54 stock

What More You Should Know About the Series 54?

The Series 54 outline is now available, based upon a quick review of the outline we are anticipating our course will be available in March. Any person who supervises the activities of a municipal securities advisor will be required to pass both the Series 50 and…

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