Changes to SEC Exempt Offering Rules Regulation A and Regulation D In November of 2020, the Securities and Exchange Commission (SEC) voted to amend its rules in order to harmonize, simplify, and improve the exempt offering framework that it believed had become too complex.…
The coronavirus crisis has underlined the importance of insurance in protecting health and wealth. It has also highlighted how long-term financial plans, no matter how brilliant, can rapidly disintegrate if the client suffers an accident, health crisis, or death. For this reason, financial advisers…
In this episode of our podcast, Chief Learning Officer, Todd Rosenfeld discusses the changes in the definition of Accredited Investor and how it impacts your business. Did you know that if you have a Series 7 or Series 65 registration you are now included…
To become a representative in the securities industry, you may have different options when it comes to registration. How do you know which exam is appropriate for your career? Below you’ll discover the details of both the Series 6 and Series 7 qualification exams…
Todd Rosenfeld, Chief Learning Officer at STC, provides insight into the Standard, Premier and Premier Plus packages that STC offers for securities licensing and which package is right for you based on your learning habits.
So, you’re ready to tackle the SIE Exam, pass it, and launch your career in the financial industry? Before you proceed, let’s explore some key points about what passing the exam can mean for you. By understanding these aspects, you’ll be well-prepared for the…
STC’s new Pass Guarantee is introduced and explained in detail by Chief Learning Officer, Todd Rosenfeld.
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…
STC’s Chief Learning Officer, Todd Rosenfeld, explains how easy we can help you comply with your CE / Firm Element annual requirements.