Securities CE (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.

A wide range of options to stay in compliance

STC has developed several programs to meet the needs of the busy financial services professional. Our Continuing Education Department is uniquely qualified to help you navigate the complexities of compliance and training requirements. For additional information, please submit the contact request form at the bottom of this page or contact us at or (800) 782-1223.

Plan Writing Services

STC has experience developing customized training plans for any size firm. We have plans for retail, institutional, investment advisory and insurance firms and banks. We conduct a comprehensive needs analysis--interviews, internal documents review, employee surveys--in order to make informed recommendations to our clients.

LMS Partnership

Securities Training Corporation can connect your firm's database/LMS System with STC Interactive. Securities Training Corporation has partnered with Pinpoint Global Communications to offer a state-of-the-art Learning Management System (LMS) to the Securities, Insurance, and Banking industries. Pinpoint’s LMS is designed to provide complete tracking and training solutions for all areas of your firm.

Tracking and Reporting

Our comprehensive record keeping and reporting services lessen the burden of time-consuming tracking and documentation. Whether you choose to study with a print or online book, STC Diagnostics provide seamless tracking that keeps you in control of your training. Reports on individuals or entire classes are easily retrievable and downloadable in multiple formats.

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.

Annual Compliance Questionnaire

STC's Annual Compliance Questionnaire can help monitor your representatives' outside business activities and confirm their knowledge of firm policy. Our online template can be edited to meet your needs.

Firm Element Modules

We continually update our modules and design new ones as well as critical issues based on the needs of our clients and the current regulatory environment.

View CE Catalog

Continuing Education Courses

Self Study

Ethical Decision Making for Commodities Professionals*

Through a series of discussions and real-life scenarios, this course 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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