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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…

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…

Taking a FINRA Exam During COVID (Podcast)

STC’s Chief Learning Officer, Todd Rosenfeld, discusses the current status of testing and provides additional tips and advice on passing FINRA exams during the COVID-19 pandemic. Now, more than ever, we are here to help you navigate your career through this crisis and help…

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…

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