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STC has created an addendum with additional questions. There have been no changes to the exam. This represents our continuing commitment to provide the most up-to-date content to our clients. Students who have purchased our Series 4 study material within the past year should contact STC for the addendum. |
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We have created some additional questions for the Series 9 course. This represents our continuing commitment to provide the most up-to-date content to our clients. There have been no changes to the exam. Students who have purchased our study material in the past year should contact STC. |
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We have created additional questions for the Series 10 course. This represents our continuing commitment to provide the most up-to-date content to our clients. There have been no changes to the exam. Students who have purchased our study material in the past year should contact STC. |
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We have created additional questions for the Series 14 course. This represents our continuing commitment to provide the most up-to-date content to our clients. There have been no changes to the exam. Students who have purchased our study material in the past year should contact STC. |
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We have created an addendum for the Series 16 Part I course. There have been no changes to the exam. This represents our continuing commitment to provide the most up-to-date content to our clients. |
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We have created additional questions for the Series 24 course. There have been no changes to the examination. This represents our continuing commitment to provide the most up-to-date content to our clients. Students who have purchased our Series 24 study material within the past year should contact STC. |
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We have created additional questions for the Series 26 course. This represents our continuing commitment to provide the most up-to-date content to our clients. There have been no changes to the exam. Students who have purchased our study material in the past year should contact STC. |
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We have created additional questions for the Series 53 course. There have been no changes to the examination. This represents our continuing commitment to provide the most up-to-date content to our clients. Please refer to the pdf posted here for the update. |
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We have created an addendum for the Series 55 course. There have been no changes to the exam. This represents our continuing commitment to provide the most up-to-date content to our clients. |
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STC has created an addendum with new text and additional questions. This addendum was created due to the changes to the exam and passing score effective January 1st, 2010. This represents our continuing commitment to provide the most up-to-date content to our clients. Students who have purchased our Series 63 study material within the past year should contact STC for the addendum. |
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STC has created an addendum with new text and additional questions. This addendum was created to address changes in the exam outline, which will become effective January 1, 2010. This represents our continuing commitment to provide the most up-to-date content to our clients. Students who have purchased our Series 65 study material within the past year should contact STC for the addendum. |
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STC has created an addendum with additional questions. This addendum was created due to the changes to the exam and passing score effective January 1st, 2010. This represents our continuing commitment to provide the most up-to-date content to our clients. Students who have purchased our Series 66 study material within the past year should contact STC for the addendum. |
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We have created additional questions for the Series 86 course. There have been no changes to the examination. This represents our continuing commitment to provide the most up-to-date content to our clients. Students who have purchased our Series 86 study material within the past year should contact STC. |
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We have created additional questions for the Series 87 course. There have been no changes to the examination. This represents our continuing commitment to provide the most up-to-date content to our clients. Students who have purchased our Series 87 study material within the past year should contact STC. |
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Please refer to the pdf posted here for the Retirement Plans Updates. |
The Options Clearing Corporation (OCC) has reduced the threshold for automatic exercise of equity options from 5 cents to 1 cent.
FINRA has amended its supervisory and compliance rules relating to options. To allow a member firm greater flexibility, FINRA eliminated the requirement that a member firm designate a Senior Registered Options Principal (SROP) and have a Compliance Registered Options Principal (CROP). The supervisory functions associated with these registration categories still exist, but may now be fulfilled by a Registered Options Principal (ROP). FINRA also made a technical change to the registration category of a Registered Options Principal, changing the category to Registered Options and Securities Futures Principal (ROSFP). The Series 4 Examination and industry terminology will continue to refer to this person as a Registered Options Principal. |
The holding period for restricted securities has been shortened from one year to six months. For nonaffiliates of the issuer, the volume restrictions for sales are removed after one year (down from two years). In addition, the thresholds for filing under Rule 144 have been increased to 5,000 shares and a dollar amount that does not exceed $50,000. Previously, an amount of 500 shares not to exceed $10,000 applied. |