Featured Articles
Todd Talk: New IAR CE Courses in 2023
Todd Rosenfeld, Chief Learning Officer at STC, discusses STC’s Investment Advisor Representative (IAR) continuing education courses for 2023. As you know, investment advisor representatives (IARs) are required to have 12 CE credits per year: six credits on ethics and professional responsibility, and six credits…
Todd Talk: Secure Act 2.0 Changes to Retirement Plans
In this episode, Todd Rosenfeld, Chief Learning Officer at STC, explains four Secure Act 2.0 changes that affect retirement plans in 2023. These changes could also have an impact on some of the securities licensing examinations you may take. Change #1: Increase in Required…
Todd Talk: 2023 Retirement Plan and Gift Tax Update
Todd Rosenfeld, Chief Learning Officer at STC, provides insights into tax law and retirement plan changes effective 2023 which could affect licensing examinations such as the SIE Securities Industry Essentials exam, the Series 6 and Series 7, NASAA exams the 63, 65 and 66…
Recent News
STC Exam Update – Spring 2022
Recently, there have been a few regulatory and tax law updates which could have a minor impact on several different qualification exams. Some of these updates are changes to the current law, while others are additions. STC has either already made the necessary updates…
What Jobs Are You Qualified for After Passing the SIE Exam?
So, you’re ready to take the SIE Exam, pass it, and get started with your career in the financial industry. Well, before you do, let’s consider some of the important facts to know about what passing the exam can mean for you. This way,…
What Is the SIE Exam and Why Did FINRA Establish It?
The SIE Exam is a FINRA-administered exam that’s required for any person who’s interested in starting a career in the securities industry. Passing the SIE alone doesn’t qualify a person for registration with a FINRA member firm or qualify them to engage in securities…
How to Manage Financial Licenses and Credentials
For advisors to succeed in the financial services industry, not only do they need the required licensing, they also need the appropriate credentials. In fact, many financial firms encourage their financial advisors (FAs) to have as many credentials as possible to broaden their expertise…
How the Series 6 and 7 Exams have Changed Since the Introduction of the SIE
Are you looking to advance your career in the securities industry? You should know that recently some of FINRA’s important exams have gone through changes. In October 2018, FINRA introduced a new prerequisite exam. This new exam is the Securities Industry Essentials (SIE) Examination.…