Financial Services CE Exam Prep
Exam Details:
Financial Services CE Exam Prep Packages
Ethics & Professional Responsibility 6 Hour IAR CE Bundle
Why this package?
- You Are Dually Registered
- You Are Subject to Regulatory Element
- You Are Only Required to Complete 6-Hours of Ethics Training
Products & Practices 6 Hour IAR CE Bundle
Why this package?
- You Are Not Dually Registered
- You Are Not Subject to Regulatory Element
- You Have Previously Completed Your 6-Hours of Ethics Training
What's Included:
Mandatory CE Assessment
Certificate of Completion
6 One-Hour Online Courses
Free Course Updates
24/7 Tech Support
STC will automatically report your CE completion to FINRA
12 Hour Combined IAR CE Bundle
Why this package?
- You Are Not Dually Registered
- You Are Not Subject to Regulatory Element
- You Are Required to Complete all 12 Credits
Purchase Financial Services CE Courses Individually
If you prefer to purchase a course individually, please select from the options below.
Refine Results
Credit type
Avoiding Common Compliance Problems (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 100%
- Attempts permitted on assessment: Unlimited
- Optional survey included
Description: Investment advisers and their representatives need to be certain to not run afoul of the industry’s rules and regulations. This course will examine various past problems and the steps that can be taken to avoid them.
IARs – Dealing with Customers (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 100%
- Attempts permitted on assessment: Unlimited
- Optional survey included
Description: This course examines between IAs and their clients, with a special focus on required disclosures. The ethical importance of making suitable recommendations will also be reviewed.
IAs – Conflicts of Interest & Form ADV (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 100%
- Attempts permitted on assessment: Unlimited
- Optional survey included
Description: Understanding Form ADV and its different sections is vital for investments advisers that are becoming registered. This course will examine the different parts and focus on the conflicts of interest that must be disclosed.
Political Contributions by Investment Advisers (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 100%
- Attempts permitted on assessment: Unlimited
- Optional survey included
Description: Insider trading and the potential misuse of material, non-public information (MNPI) have been a consistent focus of the SEC’s examination and enforcement programs. Investment advisers are increasingly monitored due to their frequent interactions with the issuers in their investment portfolios. After an examination of recent regulatory actions, users will be presented with case studies to gain an understanding of appropriate and ethical responses.
Regulation Best Interest (Reg BI) (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 100%
- Attempts permitted on assessment: Unlimited
- Optional survey included
Description: Since Reg BI includes a Fiduciary Interpretation, the application to investment advisers is examined. Special emphasis is placed on an adviser’s duty of care and duty of loyalty to its clients.
Social Media and Investment Advisers (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 100%
- Attempts permitted on assessment: Unlimited
- Optional survey included
Description: The extensive use of social media in all forms of business cannot be overlooked. This course examines the issues faced by advisers that use social media and their obligations under current law.
Ethics & Professional Responsibility 6 Hour IAR CE Bundle
Ethics & Professional Responsibility 6 Hour IAR CE Bundle
Basic Option Positions (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 100%
- Attempts permitted on assessment: Unlimited
- Optional survey included
Description: Option contracts have a number of different beneficial uses for investors. This course will cover options terminology and examine strategy, breakeven, maximum gain, and maximum loss of the four basic option positions.
Equity Securities (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 100%
- Attempts permitted on assessment: Unlimited
- Optional survey included
Description: This course provides details about the general characteristics of common stocks, preferred stocks, rights, and warrants. Additionally, the classifications of stocks and the process of making investment recommendations are covered.
Introduction to Annuities (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 100%
- Attempts permitted on assessment: Unlimited
- Optional survey included
Introduction to Securities Analysis (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 100%
- Attempts permitted on assessment: Unlimited
- Optional survey included
Mutual Fund Basics (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 100%
- Attempts permitted on assessment: Unlimited
- Optional survey included
Description: By making one simple investment, individuals can invest in hundreds of different securities, hire a professional manager, and keep their investment costs low. This course will examine how mutual funds allow investors to do all of these things and more.
Retirement Planning Basics (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 100%
- Attempts permitted on assessment: Unlimited
- Optional survey included
Description: After working for years, what could be more rewarding than enjoying a long and prosperous retirement. This course examines the process of planning for retirement, how to avoid a shortfall, and also reviews the different types of retirement plans.
Products & Practices 6 Hour IAR CE Bundle
Products & Practices 6 Hour IAR CE Bundle
Avoiding Common Compliance Problems (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 100%
- Attempts permitted on assessment: Unlimited
- Optional survey included
Description: Investment advisers and their representatives need to be certain to not run afoul of the industry’s rules and regulations. This course will examine various past problems and the steps that can be taken to avoid them.
Basic Option Positions (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 100%
- Attempts permitted on assessment: Unlimited
- Optional survey included
Description: Option contracts have a number of different beneficial uses for investors. This course will cover options terminology and examine strategy, breakeven, maximum gain, and maximum loss of the four basic option positions.
Equity Securities (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 100%
- Attempts permitted on assessment: Unlimited
- Optional survey included
Description: This course provides details about the general characteristics of common stocks, preferred stocks, rights, and warrants. Additionally, the classifications of stocks and the process of making investment recommendations are covered.
IARs – Dealing with Customers (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 100%
- Attempts permitted on assessment: Unlimited
- Optional survey included
Description: This course examines between IAs and their clients, with a special focus on required disclosures. The ethical importance of making suitable recommendations will also be reviewed.
IAs – Conflicts of Interest & Form ADV (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 100%
- Attempts permitted on assessment: Unlimited
- Optional survey included
Description: Understanding Form ADV and its different sections is vital for investments advisers that are becoming registered. This course will examine the different parts and focus on the conflicts of interest that must be disclosed.
Introduction to Annuities (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 100%
- Attempts permitted on assessment: Unlimited
- Optional survey included
Introduction to Securities Analysis (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 100%
- Attempts permitted on assessment: Unlimited
- Optional survey included
Mutual Fund Basics (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 100%
- Attempts permitted on assessment: Unlimited
- Optional survey included
Description: By making one simple investment, individuals can invest in hundreds of different securities, hire a professional manager, and keep their investment costs low. This course will examine how mutual funds allow investors to do all of these things and more.
Political Contributions by Investment Advisers (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 100%
- Attempts permitted on assessment: Unlimited
- Optional survey included
Description: Insider trading and the potential misuse of material, non-public information (MNPI) have been a consistent focus of the SEC’s examination and enforcement programs. Investment advisers are increasingly monitored due to their frequent interactions with the issuers in their investment portfolios. After an examination of recent regulatory actions, users will be presented with case studies to gain an understanding of appropriate and ethical responses.
Regulation Best Interest (Reg BI) (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 100%
- Attempts permitted on assessment: Unlimited
- Optional survey included
Description: Since Reg BI includes a Fiduciary Interpretation, the application to investment advisers is examined. Special emphasis is placed on an adviser’s duty of care and duty of loyalty to its clients.
Retirement Planning Basics (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 100%
- Attempts permitted on assessment: Unlimited
- Optional survey included
Description: After working for years, what could be more rewarding than enjoying a long and prosperous retirement. This course examines the process of planning for retirement, how to avoid a shortfall, and also reviews the different types of retirement plans.
Social Media and Investment Advisers (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 100%
- Attempts permitted on assessment: Unlimited
- Optional survey included
Description: The extensive use of social media in all forms of business cannot be overlooked. This course examines the issues faced by advisers that use social media and their obligations under current law.
12 Hour Combined IAR CE Bundle
12 Hour Combined IAR CE Bundle