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

CE Training in 2020

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 Notice 18-26 request for comments on enhancements
    • Regulatory Element
    • Firm Element
    • Maintaining Qualification Status Post Termination
  • Discussion of comment letters by stakeholders and next steps
  • Overview of 2020 risk monitoring and examination priorities
  • Affects on STC Courses
  • Interactive Q&A session

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