STC Holiday Gift Get 10% off SIE or Top Off Courses This Holiday season STC is giving back by offering you 10% off all SIE and Top-Off Courses purchased this month. Why not give back to yourself or your employees this holiday season by…
Important Things to Know about new Series 54 Exam The outline should be available within the next few weeks (number of questions and topics will be disclosed) Any person who supervises the activities of a municipal securities advisor will be required to pass both the…
Did you miss our Webinar…The SIE is Finally Here…But What Now?. You can still view the Webinar to see the webinar you missed. You can also learn How to Leverage The SIE In Your Business If you are still interested in getting a demo…
FINRA updates examination priorities for 2018 Once the Financial Industry Regulatory Authority (FINRA) updates examination priorities, you have to address changes proactively before you incur costly penalties. FINRA’s 2017 Examination Findings Report reveal new concerns, such as cybersecurity and cryptocurrency. Subsequently, FINRA published its…
Final Week to Register for Legacy Exams STC would like to give you a friendly reminder that this is the last week to enroll for your legacy exam (Series 6, 7, 79, etc) before the FINRA SIE exam is instituted Oct. 1. Want to…
The SIE Exam is a new, introductory-level FINRA exam for prospective industry professionals. Its purpose is to assess a candidate’s basic knowledge of securities industry topics fundamental to working in the industry. The SIE Exam is a FINRA sponsored exam that will be a…
FINRA created a hotline for seniors who had questions or concerns about their brokerage accounts. One of the major issues that was highlighted by these investors was suspected financial exploitation. In order to address this issue, FINRA created Rule 2165 which is titled Financial…
The Tax Reform Act of 2018 and 2018 Retirement Plans The Tax Reform Act of 2018 and changes for 2018 retirements plans will impact the financial industry. While some of the information will immediately affect FINRA, MSRB, and/or NASAA exam questions, other information may…
Securities Training Corporation (STC), a financial training company, today announced the appointment of Paul Skordilis as President and General Manager. Mr. Skordilis is the third individual to lead STC since its founding in 1969, following the retirement of former CEO Paul Weisman who led the…
Currently, there are two exam delivery vendors, Pearson VUE and Promteric. Effective January 1, 2018, a candidate will only to be able to take an exam at a Prometric exam center. The last day a candidate may take an exam at a Pearson VUE…
If you need to make a test appointment or get answers to questions related to your test appointment, call 1 (800) 578-6273 or 1 (866) 396-6273. Users of this testing system do not require prior experience in operating computer terminals. In fact, before starting your examination, you will be given…
Effective on September 5, 2017, the Securities and Exchange Commission (SEC) amended the Securities Exchange Act of 1934 to shorten the standard settlement cycle for most broker-dealer transactions from three business days after the trade date (T+3) to two business days after the trade…
The MSRB has added the Series 52 to the list of exam that will be restructured. Effective October 1, 2018, they will follow FINRA’s lead and make the SIE a prerequisite for the Series 52 top-off exam. A proposed rule change will be filed…
Accounts at Other Broker-Dealers and Financial Institutions For supervisory reasons, member firms are required to monitor the personal accounts that their employees (both clerical and registered persons) open or establish with a firm other than the one at which they are employed. For example,…
What’s Permitted? Current Rule 147 permits the sale of securities without SEC registration to residents of a single state (intrastate exemption) if the corporation is organized in that same state and: At least 80% of the assets are located, revenues are generated, and…
Good Afternoon Dave, I took your class this week and let me again say thank you. It was very clear to me how much you love your job and that you truly care about all of us passing, which I’m not sure I can say about some of the other testing companies I’ve previously used. Again, thank you for your hard work this week and I look forward to speaking to you soon to tell you I passed. I promise you will be third on my list of people to tell when I pass, just behind my girlfriend and dad, I’ll even do it before my manager!
- Evan R., FINANCIAL ADVISER, Chicago Illinois
I passed my LAH exam with an 86%. Thanks again for all your help!
- Thomas C., FINANCIAL ADVISOR, Binghampton New York
I passed! Thank you so much, Elizabeth! I have long way to go…After series 7 I have to get 24, 65. Because of your excellent service and customer care, I want to stay with STC. Have a great day!!
- Ben B., FINANCIAL ADVISER, New York New York
Bruce Walck was an excellent instructor!!! He was clear, engaging, and used the time efficiently to cover all the pertinent material over the 2 days of class. I would recommend Bruce as an instructor for any STC class.
- Nick S., FINANCIAL ADVISER, Portland Oregon
I passed the NY State LAH exam today – I got an 81. Thanks for the great training material.
- Nick C., FINANCIAL ADVISOR, New York New York
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