The strength of the financial services industry is built on its competent, informed professionals. To maintain this standard, FINRA requires continuing education for all registered individuals. This comprises two key parts: the Regulatory Element, focusing on critical rule changes and updates for each registration…
Securities firms are constantly challenged by the need to prepare new associates and analysts to pass their securities licensing exams on their first try. Securities exams are notoriously difficult, and the longer it takes for new hires to get licensed, the longer firms wait…
The world of finance is evolving at an unprecedented pace. The current finance jobs outlook is shaped by several dynamic forces, including technological advancements, regulatory changes, shifting economic landscapes, and evolving consumer expectations. The financial services industry has always been a cornerstone of global…
Todd Rosenfeld, Chief Learning Officer at STC, discusses why you should choose STC for Your Investment Adviser Representative Continuing Education (IAR CE). a Continuing education is essential for Investment Adviser Representatives (IARs) to stay ahead in a constantly evolving industry, and choosing the right…
Todd Rosenfeld, Chief Learning Officer at STC, discusses the key requirements for IAR Continuing Education. a Welcome to another edition of Todd Talks! In this video, we dive into the Model Rule on Investment Adviser Representative Continuing Education (IAR CE) established by the North American…
Todd Rosenfeld, Chief Learning Officer at STC, discusses the 2024 settlement update to T+1. a Currently, settlement date occurs two business days after trade date; however, recent rule amendments from the Securities and Exchange Commission (SEC) and conforming FINRA rule changes will soon make…
The Securities Industry Essentials (SIE) Exam is a gateway for anyone interested in entering the world of finance. Acing the SIE exam in college can help you set yourself apart in the job market and unlock career opportunities early. In this article, we’ll cover…
As is the case with many new regulations, the Model Rule on Investment Adviser Representative Continuing Education (IAR CE) created by the North American Securities Administrators Association (NASAA) is generating a number of questions. The following information addresses the most frequently asked questions regarding…
FINRA exams are a challenge that every financial services professional must meet, but they don’t have to be as daunting as they seem. As you prepare to face your securities licensing exams, we can’t say enough about the importance of effective study techniques. Having…