Resource Center: News & Updates

Featured News & Updates articles

STC’s New Podcast Series

STC Announces its new podcast series! Todd Rosenfeld, Chief Learning Officer with Securities Training Corporation, explains how the securities industry works, the organizations that help regulate the industry, the types of exams to become licensed and what you are allowed to do with a…

STC -COVID-19 Update (Podcast)

Todd Rosenfeld, Chief Learning Officer provides an update to STC’s response to the current COVID-19 pandemic. This podcast features STC’s virtual capabilities for distance learning. STC’s response includes extending access of its materials to thousands of existing students, allowing them to continue their studies…

Ed Clark

Securities Training Corporation Appoints Ed Clark as President

Securities Training Corporation (STC), the market leader in securities training, today announced that Ed Clark has joined the company as President. Clark is a senior executive with extensive experience in P&L management, strategic planning, sales, marketing, operations, and mergers and acquisitions. “Ed has demonstrated strong…

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…

FINRA rule

FINRA Rule 3210 

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,…

FINRA Rules

Revised Rule 147 and Regulation D

  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…

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