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 ceinfo@stcusa.com 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

S101 Regulatory Prep Online Study Manual

The S101 Regulatory Prep Online Study Manual is used for all registrations except Series 6, Series 99, and Principal/Supervisor registrations. The S101 Regulatory Prep Online Study Manual and Practice Review cover the following topics: Communications with the Public, Suitability, Handling Customer Accounts, Trades and Settlement Practices, and New and Secondary Offerings and Corporate Finance. (*As of 2016, the S101 outline has changed. We are currently in the process of revising our materials to reflect the new outline. For more information, please visit www.FINRA.com)
$95
Self Study

S201 Regulatory Prep Online Study Manual

The S201 Regulatory Prep Online Study Manual is used for the Principal/Supervisor registration. The S201 Regulatory Prep Online Study Manual covers the following topics: Supervision and Control, Handling Customer Accounts, Trades and Settlement Practices, New and Secondary Offerings and Corporate Finance and Product Knowledge and Related Supervisory Concerns. (The S201 Regulatory Prep Online Study Manual gives reps the opportunity to become familiar with concepts included on the S201 Outline and does not include practice questions.)
$95
Self Study

S106 Regulatory Prep Online Study Manual

The S106 Regulatory Prep Online Study Manual is used for the Series 6 registration. The S106 Regulatory Prep Online Study Guide covers the following topics: Communications with the Public, Suitability, Handling Client Accounts, Trades and Settlement Practices, and Product Knowledge. (The S106 Regulatory Prep Online Study Manual gives reps the opportunity to become familiar with concepts included on the S106 Outline and does not include practice questions.)
$95
Self Study

S901 Regulatory Prep Online Study Manual

The S901 Regulatory Prep Online Study Manual is used for the Series 99 registration. The S901 Regulatory Prep Online Study Manual covers the following topics: Client Confidentiality and Responsibilities of Registered Persons, Operations Workflow, Product and Market Knowledge, and Personalized Cases: New Accounts, Trading and Settlement, Operations Generalist, and Treasury, Custody, and Control. (The S901 Regulatory Prep Online Study Manual gives reps the opportunity to become familiar with concepts included on the S901 Outline and does not include practice questions.)
$95
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.
$30

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