Todd Rosenfeld, Chief Learning Officer at STC, discusses the key requirements for IAR Continuing Education. a Welcome to another edition of Todd Talks! In this video, we dive into the Model Rule on Investment Adviser Representative Continuing Education (IAR CE) established by the North American…
Todd Rosenfeld, Chief Learning Officer at STC, discusses the 2024 settlement update to T+1. a Currently, settlement date occurs two business days after trade date; however, recent rule amendments from the Securities and Exchange Commission (SEC) and conforming FINRA rule changes will soon make…
The Securities Industry Essentials (SIE) Exam is a gateway for anyone interested in entering the world of finance. Acing the SIE exam in college can help you set yourself apart in the job market and unlock career opportunities early. In this article, we’ll cover…
FINRA exams are a challenge that every financial services professional must meet, but they don’t have to be as daunting as they seem. As you prepare to face your securities licensing exams, we can’t say enough about the importance of effective study techniques. Having…
Research analysts play an essential role in the world of banking, brokerage, and finance. They help investors make informed decisions by analyzing data and information to identify trends and patterns, and also offer insights that can guide strategy and asset allocation. In this blog,…
If you’re just starting on your path into the financial services industry, you’re likely overwhelmed with the number of licenses that are available to be obtained. Why are there so many licenses and which ones are right for you? Before taking any exams, you…
If you are a financial professional, there are likely several exams you will be required to pass before you can obtain your license and begin giving financial advice to your clients. For many financial professionals, this includes the Series 65 Exam, also known as…
Get FINRA’s Firm Element Course on your LMS! Todd Rosenfeld, Chief Learning Officer at STC, discusses Firm Element. We make Securities Continuing Education (Firm Element) easy. With SCORM-wrapped courseware, you can deploy training on your own LMS.
Todd Rosenfeld, Chief Learning Officer at STC, discusses 2023 changes to continuing education (CE) requirements for investment advisor representatives (IARs). If you’re registered as an investment advisor representative (IAR), you’ll want to be aware of your CE requirements. Some changes went into effect for…