Securities Continuing Education (Firm Element)

With the STC continuing education programs, you can meet your CE requirements with training that helps you do your job, rather than take you away from it.

STC has upgraded its Continuing Education experience.

  • New and updated courses – we have updated our course library to provide over 70 updated and new courses to choose from
  • Easy access through our top-notch learning system
  • Robust reporting to help ensure your employees are meeting their requirements
  • We offer the full suite of courses for you or your team to choose from

All access Firm Element for corporations

We continually update our courses and design new ones based on the needs of our clients and the current regulatory environment

  • 70+ courses
  • Full team tracking and reporting
  • 24/7 access
  • Single or multi-year options available
  • Packages available for all company sizes
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Partnering with STC

Purchase STC course content that’s able to be used on your own LMS.

Does your firm have its own LMS, but needs a course that’s offered by STC? A firm can purchase any course listed in STC’s catalog and a file will be delivered which can then be uploaded onto the firm’s own LMS.

Host your course on our LMS. Does your firm want to host some of its proprietary courses on STC’s LMS? STC can take a firm’s content and upload the course on its LMS. This can be used as either an alternative to or as a supplement to STC’s course offerings.

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Tracking and Reporting

Our comprehensive record-keeping and reporting services lessen the burden of time-consuming tracking and documentation. With our online delivery, STC provides seamless tracking that keeps you in control of your training. Diagnostic reports are easily retrievable from your desktop in just a few keystrokes and can be downloaded into Excel, Word, and Access formats

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Annual Compliance Meeting

Since 2006, FINRA has allowed firms to use on-demand webcast technology to deliver their Annual Compliance Meeting with no need for a live facilitator. STC helps firms deliver their ACM by allowing them to select firm-specific meeting topics and content.

ACM Catalog

Selection of Available Courses

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AML – Customer Due Diligence (CDD) Rule

FinCEN’s long-anticipated Customer Due Diligence (CDD) Rule became effective in 2018 and FINRA has announced that it will be examining its members to ensure that they comply with it. Brokerage firms are now required to obtain and verify the identities of the individuals who control their corporate customers’ accounts. This course explains the CDD rule and what needs to be done to be compliant

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Financial Exploitation of Vulnerable Adults

The number of Americans who are 65 or older is expected to double by 2050. As people age, they may have difficulty understanding financial matters and making investment decisions. Sadly, seniors and younger adults with a mental or physical disability become vulnerable to financial abuse and exploitation. We cover the warning signs that suggest financial exploitation and discuss what to do if you suspect one of your clients may be a victim

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Branch Office Inspections

Whether you work in a large office with many registered representatives or alone as an independent registered representative, branch examiners will be knocking on your door. Over the years, branch inspections have uncovered a wide variety of violations, such as unregistered personnel selling securities, unsuitable recommendations, inappropriate switching of securities, unauthorized outside activities, insider trading, the sale of unregistered securities, and a host of other problems. We cover the red flags that will catch the attention of the examiners.

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Gifts and Gratuities

The regulators are continually scrutinizing gift-giving and entertainment practices related to brokerage business. Firms and representatives should be wary about throwing a lavish party for counterparts at another firm or providing tickets to a sporting event. These seemingly innocuous actions may result in regulatory problems for representatives and their firms.

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Digital Communications

The broad array of formats for digital communications, as well as devices that use those formats, have created multiple challenges for regulators and firms. What are the current rules for digital communications? What steps are firms required to take to filter and retain this wave of information?

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Market Manipulation – Spoofing and Layering

FINRA recently announced that it would begin issuing a surveillance report card to firm’s which would assess the effectiveness of their software systems in capturing and preventing market manipulation. The focus of the first report card was to detect layering and spoofing. The regulator uses its market surveillance programs to determine whether these techniques are occurring within a firm’s business — either entirely throughout the firm’s transaction systems or only one part of the firm. FINRA also focuses on how firms use information that’s taken from the report cards to improve operations and compliance.

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Cybersecurity: FINRA Findings and Recommended Practices

The FINRA Report on Cybersecurity Practices concluded that broker-dealers face a variety of rapidly evolving threats and need a well-designed and adaptable program to address these threats. FINRA views this problem as high-priority and will be looking for evidence that a firm is making a good-faith effort to identify risks and taking steps to guard against their occurrence. Even if no customer is harmed, regulators may still bring an enforcement action if non-public information has been exposed to unauthorized persons. Training personnel on how to recognize and respond to threats reduces the likelihood that a cyberattack will be successful.

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Preventing and Dealing with Sexual Harassment in the Workplace

Harassment prevention training is now mandatory for employers in many states. In fact, even if companies are not located in these states, they’re well advised to provide this type of training to their employees. Using realistic examples and scenarios that are tailored to the financial industry, this program will help identify sexual harassment in the workplace, prevent it, and take appropriate action if it occurs.

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Ethical Considerations for Operations Personnel

Although regulators typically focus their attention on employees who interact directly with the public, operations personnel also face regulatory scrutiny and are subject to strict legal and ethical obligations. The operations area, which has responsibility for trade confirmation, transaction settlement, custody, account transfer and maintenance, and securities lending, is also responsible for creating many of the records that a firm is required to maintain. By fulfilling their ethical obligations, operations personnel keep everyone out of trouble.

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Protecting Customer and Yourself Against Fraud

FINRA has urged firms “to be proactive in helping to educate customers about how to avoid being victims of financial fraud.” Registered representatives are often in a unique position to help customers learn about how to avoid fraudulent solicitations. This module addresses cold-calling abuses, spreading false and misleading rumors, both penny stock and pump-and-dump schemes, Ponzi schemes, Internet investment fraud, and corporate fraud.

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Ethical Decision Making for Commodities Professionals

Through a series of discussions and real-life scenarios, this module presents examples of ethical dilemmas and how to avoid them. Topics include knowing your firm’s ethical standards, NFA rules, dealing fairly with customers and colleagues, insider trading, and fraud.

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The SEC Share Class Initiative

Ensuring that investors are not overcharged for mutual funds has long been a major regulatory concern. The SEC is also investigating the way investment advisers select share classes of mutual funds and Section 529 college savings plans for their clients. This module will identify the different types of share classes, breakpoints, waivers, sales charges, and 12b-1 fees that are associated with them. Investment advisers have an obligation to recommend the share class that represents the best option for their clients.

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