Securities Training Corporation Launches Continuing Education Programs or Investment Adviser Representatives To Meet New Industry Requirements

North American Securities Administrators Association (NASAA) Designates STC As Approved Provider of New IAR Continuing Education Courses

Securities Training Corporation (STC), the market leader in securities training, announced that the company has been named as one of a select few approved providers of Investment Adviser Representative Continuing Education (IAR CE). STC has begun filing courses with Prometric/NASAA to be approved for registered IARs of state-registered as well as federally covered investment advisers that are subject to the impending new NASAA regulatory requirement.

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“Once again, Wall Street can come to STC to educate its professionals. As the only provider of exam prep for every FINRA exam as well as Firm Element continuing education, STC is uniquely positioned to excel at educating investment advisor reps”

The 2020 model rule, which has both a Products and Practices component and an Ethics and Professional Responsibility component, is intended to be compatible with other existing continuing education programs.

“Once again, Wall Street can come to STC to educate its professionals. As the only provider of exam prep for every FINRA exam as well as Firm Element continuing education, STC is uniquely positioned to excel at educating investment advisor reps,” said Todd Rosenfeld, Chief Learning Officer at Securities Training Corporation. “We offer easy integration with a firm’s other CE requirements such as FINRA’s Firm Element program so IARs can receive dual credit as well as expert instruction to quickly gain knowledge in topics relevant to IARs experiencing success on the job.”

According to NASAA’s website, the IAR CE model rule represents the culmination of years of work by state securities regulators and industry stakeholders to develop a relevant and responsive continuing education program. STC has a long track record of educating professionals in the financial world and will utilize its prescriptive approach and instructional design for these IAR CE programs.

Under the new requirements, IARs must complete the following on an annual basis:

• 6 credit hours in Products and Practices
• 6 credit hours in Ethics and Professional Responsibility

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While specific courses are still under review with NASAA for final approval, following is a list of IAR continuing education courses that STC plans to offer:

• AML for Investment Advisers
• IARs and Dealing with Customers
• Regulation Best Interest (RegBI)
• Investment Advisers and their Fiduciary Obligation
• Ethical Decision-Making for IARs
• Political Contributions by IARs
• Social Media and Investment Advisers
• Insider Trading and Investment Advisers
• Investment Advisers and Complex Products
• Protecting Senior Investors
• Investment Advisers – Conflicts of Interest Disclosures in Form ADV
• Investment Advisers and The Custody Rule
• Supervision of IARs
• IARs and Insurance Products
• IARs – Avoiding Common Compliance Problems

To assist corporate clients in completing IAR CE requirements, STC offers guided course selection to quickly and easily select the correct courses to complete CE requirements, easy integration with each firm’s Firm Element program, which allows them to earn dual credits, and inclusion of all STC IAR CE courses as designation credit.

The IAR CE requirements begin taking effect on January 1, 2022, when the first states implement the model rule. For questions regarding a state’s specific requirements, contact the securities regulator in that jurisdiction.

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