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IMPORTANT UPDATES
 
Holiday Schedule
STC will be closed on Apr. 18th in observance of Good Friday. All Next-Day and 2-Day orders received after 3:00 pm local time, will be shipped on Monday, April 21. Thank you.

 
S901 Study Program is NOW available
Need help preparing to successfully satisfy your S901 requirement? STC's S901 Regulatory Prep Study Guide and Regulatory Prep Practice Review is now available. To purchase or for more information, click here.

 
STC's Series 10 Additional Examination
Please visit Course Updates to view.

 
Indiana Announces Ethics Requirement for Resident Life, Health, Annuity and Variable Annuity Producers
For renewals that occur after June 30, 2014, all resident insurance producers licensed with Life, Health, Variable Life & Annuity, and Life, Accident & Health lines of authority must have three (3) hours of continuing education in ethics. This requirement is part of the twenty-four (24) hours continuing education requirement. The ethics requirement must be related to ethical practices in the marketing and sale of life, health, or annuity insurance products. For more information, contact Jean Carter in our Boston Office (800-782-2678 ext. 204).

 
2014 Update for Tax,Retirement Plan, and Regulatory NOW available
Please visit Course Updates to view.



 
Series 6 Addendum now available:
Effective December 16th, 2013, FINRA will implement changes to the Series 6. Please be advised that the publication for those changes can be viewed via the link: http://www.finra.org/Industry/Regulation/Notices/2013/P376643. The number of questions and passing score are unchanged. STC has now released an addendum to the Seires 6 study material. Please visit our Course Updates  for the latest information.



 
Attention!
Effective November 4th, FINRA will now require broker-dealers to report transactions as soon as practicable, but no later than 10 seconds following execution. The previous rule required reports to be filed with FINRA within 30 seconds. This rule change applies to all over-the-counter transactions in equity securities. Specifically, the change affects OTC transactions in (1) NMS stocks reported through the Trade Reporting Facility (TRF) or reported through the Alternative Display Facility (ADF) and (2) OTC equity securities (i.e., non-NMS stocks such as OTC Bulletin Board securities and securities in the OTC Pink Market), which are reported through the OTC Reporting Facility (ORF).



 
Series 16 Addendum available NOW
Effective October 28, FINRA will change its Series 16 Content Outline. To represent our continuing commitment to provide the most up-to-date content, STC has released an addendum. Please visit our Course Updates for the latest information.



FINRA Series 55 revision - STC ADDENDUM IS NOW AVAILABLE
FINRA has revised the Series 55 Examination effective August 12th 2013. The number of questions will remain the same, however the passing score will decrease from 70% to 67%.

The breakdown of the exam will change to the 3 sections listed below:
Function 1: Trading, 45 questions;
Function 2: Order Handling, 36 questions; and
Function 3: Record Keeping and Regulatory Reporting, 19 questions

Please visit the FINRA website for further details: http://www.finra.org/web/groups/industry/@ip/@reg/@notice/documents/notices/p291713.pdf




NEW S101 Regulatory Prep Study Guide and Practice Review
The S101 Regulatory Prep Study Guide and Practice Review is now available. Our two-part program is designed to help prepare your reps so that they can successfully satisfy their S101 Requirement, by reviewing the regulatory concepts and products that they are likely to encounter during their Regulatory Element Program. Topics include: Communications with the Public, Suitability, Handling Customer Accounts, Trade and Settlement Practices, and New and Secondary Offerings and Corporate Finance. Click here to order.



NEW Firm Element/Annual Compliance Meeting/Securities Training Corporation
STC has expanded the offerings in our Firm Element Catalog. Each title focuses on a crucial topic in the industry and is designed to provide targeted training within your Continuing Education Program. For additional information and/or demonstration, please contact Mike Fayne (800) 782-1223.



Other News


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