Securities Training and You

In this 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 in the new definition of an accredited investor under Regulation D? We cover this and more. Take a Listen.

Learn about the four components of the SEC’s new Regulation Best Interest rule that went into effect June 30, 2020 from STC’s Chief Learning Officer, Todd Rosenfeld.  Todd breaks down the new rules and interpretations designed to enhance the quality of retail investors’ relationships with broker-dealers and investment advisors.

STC’s Chief Learning Officer, Todd Rosenfeld, discusses the current status of testing and provides additional tips and advice on passing FINRA exams during the COVID-19 pandemic. Now, more than ever, we are here to help you navigate your career through this crisis and help you pass your exam.

Todd Rosenfeld, Chief Learning Officer with Securities Training Corporation, explains how the securities industry works, the organizations that help regulate the industry, the types of exams to become licensed and what you are allowed to do with a particular license.

What is the SECURE Act? Why was it created? What are some of the components that make up the act? This is a brief overview of the new RMD rules, Traditional IRA contribution changes, withdrawals for birth or adoption rule changes, 529 plan adjustments, 401(k) expansion for some part-time employees and updates to inherited IRAs. STC offers a CE course on the SECURE Act. This podcast also covers how those changes affect licensing exams and an employee’s preparation for those exams (SIE, Series 65, Series 66 and others).

Todd Rosenfeld, Chief Learning Officer provides an update to STC’s response to the current COVID-19 pandemic. This podcast features STC’s virtual capabilities for distance learning. STC’s response includes extending access of its materials to thousands of existing students, allowing them to continue their studies through the testing center closures. This podcast also includes current promotions and study best practices, allowing students to get more out of their study time with the current delays.

In the inaugural episode, Chief Information Officer Todd Rosenfeld discusses the history of Securities Training Corporation and financial services training.