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FINRA’s 2019 Risk Monitoring and Examination Priorities

FINRA’s 2019 Risk Monitoring and Examination Priorities

  FINRA‘s 2019 Risk Monitoring and Examination Priorities Letter is out, and it highlights this year’s new priorities and identifying areas of ongoing concern that FINRA will focus on in the coming year. Priorities for 2019 include enforcement, trading or churning for quantitative suitability,…

STC dashboard

STC Has Upgraded The Dashboard Experience

 STC Has Upgraded the Dashboard Experience We have listened to students concerns and have launched new upgrades to the student experience Dashboard Enhancements Completion status of each product is now displayed Dashboard now supports LAH Certificate courses Dashboard now supports LAH Locked states Expiration…

the financial services industry is becoming more relationship oriented

Why The Financial Services Industry is Becoming More Relationship Focused

Why The Financial Services Industry is Becoming More Relationship Focused Robo-advisers have been capturing an increasing share of the financial services business. In financial services, rapid changes in how securities are traded, monitored and researched have made it imperative for financial advisers to understand…

Top-Off Courses

We Are Unveiling Our New Series 7 and 79 Top-Off Courses

  The Series 7 is a FINRA exam required for individuals who may sell a broad range of securities including corporate securities, municipal securities, municipal fund securities, options, direct participation programs, investment company products, and variable contracts. Come October 1st, Individuals we be required to pass…

mind of clients

Financial Advisors: Get Inside the Minds of Your Clients

The best financial advisors know their role isn’t just about being an investment expert. It’s about holistically knowing your client: what their goals are, what’s important to them, what’s standing in their way and what biases affect their decision making. By knowing a little…

SIE course

What Does STC’s SIE Course Look Like?

What Does STC’s SIE Course Look Like? 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…

websites financial advisor

Five Tips About Financial Advisor Websites

  There are more than 200,000 financial advisors in the U.S., but don’t let that deter you from joining the fast-growing industry. According to a 2017 report, “The Changing Face of Financial Advice” by Corporate Insight, financial advisor activity is at an all-time high.…

social media financial advisor

Post, Tweet, Like: Getting Social or Upping Your Game

You know that old saying of “go where the customers are”? Eighty percent of Americans used some form of social media in 2017, according to Statista. So where should you be, if you aren’t already? According to the fifth edition of the Putnam Social…