Practice Test for Financial Services CE Exam Prep | STC USA
Financial Services CE 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 in Compliance with Regulatory Element CE
- You need 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
Automatic completion report to FINRA
FREE CPE Credits
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.
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Credit type
CFP
Ethical Considerations with Complex Products (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Description: Some investors are willing to include complex products in their investment portfolios if they meet their objectives. This course will examine some of the more popular complex products, including structured products, floating rate notes, asset-backed securities, and exchange-traded products.
Ethical Practices of IARs (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Description: Investment advisers are required to create a written code of ethics that sets forth standards of conduct that advisory personnel are expected to follow, but also addresses numerous conflicts of interest that must be addressed. Through the use of case studies and careful review of Regulation Best Interest, this course will provide an understanding of a adviser’s obligations.
IARs and Communication with the Public (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Description: The prevalence of advisory firms promoting their businesses through advertising cannot be overlooked. This course will examine industry rules regarding the different forms of communication with the public and will provide case studies to increase understanding.
IARs and Wrap Fee Accounts (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Description: For some clients, being charge one fee for advisory service and transaction execution is appropriate. This course will examine these wrap fee account, specific required disclosures, and the emphasis on suitability determination.
Market Manipulation (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Description: Market manipulation can destroy investor confidence in the markets and damage a firm’s reputation. This course will examine the different forms of manipulation and the different rules and provisions that have been established to combat it.
The Ethics of Managing IRAs (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Description: For so many investors who want to accumulate long-term assets, individual retirement accounts (IRAs) are the obvious choice. This course will examine the different types of IRAs, but will also consider the ethical requirements of financial professionals who recommend them.
Ethics & Professional Responsibility 6 Hour IAR CE Bundle
Ethics & Professional Responsibility 6 Hour IAR CE Bundle
Funding a Child's Education (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Description: This course explores the different options that are available to meet a child’s future educational needs. Coverage will include prepaid tuition plans, 529 savings plans, Coverdell ESAs, as well as accounts for minors.
IARs and Annuities (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Description: This course closely examines the different types of annuities, but pays most of the attention to variable annuities. Details of how annuities work and the specific suitability requirements are included.
IARs and Equity Options (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Description: For those who are interested in learning how options work, this is the course to choose. This course will examine the risks and rewards of buying or selling call or put options. Additionally, details will be provided on some of the quantitative methods that investors use to value options.
IARs and Real Estate Investing (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Description: In an effort to diversify their investment portfolios, many investors turn to real estate-related assets. This course will examine real estate investment trusts (REITs) and real estate limited partnerships, but also some of the important registration requirements and exemptions associated with these securities.
Life Insurance Basics (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Description: Life insurance is generally considered a vital component to a person’s overall financial plan. This course will examine the terminology, characteristics, and types of life insurance policies.
Treasury Securities (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Description: Many investors will reach a point at which they want safety and liquidity in their investments. When that happens, Treasury securities will become a focus. This course will describe the different Treasury securities, will examine the process used to issue them, and will review some of the more technical aspects of analyzing them.
Products & Practices 6 Hour IAR CE Bundle
Products & Practices 6 Hour IAR CE Bundle
Ethical Considerations with Complex Products (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Description: Some investors are willing to include complex products in their investment portfolios if they meet their objectives. This course will examine some of the more popular complex products, including structured products, floating rate notes, asset-backed securities, and exchange-traded products.
Ethical Practices of IARs (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Description: Investment advisers are required to create a written code of ethics that sets forth standards of conduct that advisory personnel are expected to follow, but also addresses numerous conflicts of interest that must be addressed. Through the use of case studies and careful review of Regulation Best Interest, this course will provide an understanding of a adviser’s obligations.
Funding a Child's Education (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Description: This course explores the different options that are available to meet a child’s future educational needs. Coverage will include prepaid tuition plans, 529 savings plans, Coverdell ESAs, as well as accounts for minors.
IARs and Annuities (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Description: This course closely examines the different types of annuities, but pays most of the attention to variable annuities. Details of how annuities work and the specific suitability requirements are included.
IARs and Communication with the Public (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Description: The prevalence of advisory firms promoting their businesses through advertising cannot be overlooked. This course will examine industry rules regarding the different forms of communication with the public and will provide case studies to increase understanding.
IARs and Equity Options (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Description: For those who are interested in learning how options work, this is the course to choose. This course will examine the risks and rewards of buying or selling call or put options. Additionally, details will be provided on some of the quantitative methods that investors use to value options.
IARs and Real Estate Investing (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Description: In an effort to diversify their investment portfolios, many investors turn to real estate-related assets. This course will examine real estate investment trusts (REITs) and real estate limited partnerships, but also some of the important registration requirements and exemptions associated with these securities.
IARs and Wrap Fee Accounts (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Description: For some clients, being charge one fee for advisory service and transaction execution is appropriate. This course will examine these wrap fee account, specific required disclosures, and the emphasis on suitability determination.
Life Insurance Products (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Description: When providing the advisory service and recommendations to clients, IARs may need to consider their clients’ life insurance needs. This course will examine the different types of insurance policies as well as their tax treatment.
Market Manipulation (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Description: Market manipulation can destroy investor confidence in the markets and damage a firm’s reputation. This course will examine the different forms of manipulation and the different rules and provisions that have been established to combat it.
The Ethics of Managing IRAs (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Description: For so many investors who want to accumulate long-term assets, individual retirement accounts (IRAs) are the obvious choice. This course will examine the different types of IRAs, but will also consider the ethical requirements of financial professionals who recommend them.
Treasury Securities (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Description: Many investors will reach a point at which they want safety and liquidity in their investments. When that happens, Treasury securities will become a focus. This course will describe the different Treasury securities, will examine the process used to issue them, and will review some of the more technical aspects of analyzing them.
12 Hour Combined IAR CE Bundle
12 Hour Combined IAR CE Bundle