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SIE exam for non-licensed employees

How to Develop a More Valuable Employee

Developing the skills and knowledge of financial advisors is an important function of advisory firms and financial institutions. In other businesses, clients look for these attributes as well, but when it comes to money management, clients set a higher bar for those they entrust…

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…

SIE exam for non-licensed employees

How to Develop a More Valuable Employee

Developing the skills and knowledge of financial advisors is an important function of advisory firms and financial institutions. In other businesses, clients look for these attributes as well, but when it comes to money management, clients set a higher bar for those they entrust…

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…

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…

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