Resource Center: News & Updates

Featured News & Updates articles

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…

group waiting on passing score

FINRA Releases SIE and New Top Off Passing Scores

FINRA has finally released their SIE and new Top off exam passing scores. The SIE (Securities Industry Essentials) Exam is a new, introductory-level FINRA exam for current non-registered staff members and prospective securities industries professionals who are not associated with a brokerage firm as well…

new FINRA rules

6 New Rules From FINRA That You Need To Know

Following in the footsteps of millions of average, everyday people worldwide, FINRA sets its expectations and priorities for the year ahead at the beginning of January each year, their “resolutions” coming in the form of an annual Regulatory and Examination Priorities Letter. Among the…

STC SIE annoucnement

[Press Release] Securities Training Corporation Announces Availability of Securities Industry Essentials (SIE) Exam Training Package

Securities Industry Essentials (SIE) Exam Training Package Now Available New York City, NY. (July 17, 2018) — Securities Training Corporation (STC), the market leader in securities training, today announced that the company’s first-to-market Securities Industry Essentials (SIE) Exam training package is available for purchase. The learner-centric SIE Course…

Financial Exploitation- Seniors

Financial Exploitation of Specified Adults

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…

Tax reform

The Tax Reform Act of 2018 and 2018 Retirement Plans

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…

Delivery Vendor

A Shift to One Exam Delivery Vendor

  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…

Taking the Exam

Taking the Exam

  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…

Testimonials