{"id":24511,"date":"2019-06-13T21:25:48","date_gmt":"2019-06-13T21:25:48","guid":{"rendered":"https:\/\/www.stcusa.com\/?page_id=24511"},"modified":"2024-11-22T19:15:03","modified_gmt":"2024-11-22T19:15:03","slug":"continuing-education","status":"publish","type":"page","link":"https:\/\/www.stcusa.com\/securities\/continuing-education\/","title":{"rendered":"Continuing Education"},"content":{"rendered":"<p>[vc_row el_class=&#8221;hero-container&#8221; bg_color_overlay=&#8221;no-color&#8221; bg_color_overlay_bottom=&#8221;no-color&#8221; css=&#8221;.vc_custom_1509421918479{margin-bottom: 0px !important;}&#8221;][vc_column]<section class=\"hero-section image-as-background hero-large hide-branch\" style=\"background-image: url(https:\/\/www.stcusa.com\/wp-content\/uploads\/2017\/09\/Securities_CE_1800x1000.jpg);\"><div class=\"hero-content-container\">\n\n\t<h1 class=\"section-title color-white\">Comprehensive Securities Continuing Education (CE) Programs<\/h1>\n\t<h2 class=\"section-subtitle h2 color-white\">With new and updated continuing education courses , you can meet your CE requirements with training that helps you do your job, rather than take you away from it.<\/h2>\n\t\t<\/div><span class=\"hero-bottom-tree\"><\/span><\/section><!-- .hero-section -->[\/vc_column][\/vc_row][vc_row css=&#8221;.vc_custom_1561071795538{margin-bottom: 0px !important;}&#8221; bg_color_overlay=&#8221;no-color&#8221; bg_color_overlay_bottom=&#8221;no-color&#8221;][vc_column][vc_empty_space height=&#8221;50px&#8221;]<section class=\"multi-column-section color-white\"><div class=\"multi-column-section-content\"><div class=\"columns-container\"><header class=\"module-heading\"><h2 class=\"section-title  color-stc-aqua\">STC helps keep you and your employees compliant, effortlessly<\/h2><\/header>[vc_column_text css=&#8221;.vc_custom_1682810896231{margin-right: 20px !important;margin-left: 20px !important;}&#8221;]<\/p>\n<ul>\n<li><strong>Powerful Course Catalog &#8211;\u00a0<\/strong>Hundreds of courses, written by the best of the best instructors, cover current industry and compliance topics while fulfilling CE requirements<\/li>\n<li><strong>Trusted Course Content &#8211;\u00a0<\/strong>Written by industry-leading instructors, you can confidently know that training content is reviewed and kept up to date with the latest regulatory changes.\u200b<\/li>\n<li><strong>Total Customization &#8211;\u00a0<\/strong>Our content experts are here to create new courses quickly and efficiently \u2013 empowering you to focus on other tasks.<\/li>\n<li><strong>Easy to Do Business With &#8211; <\/strong>Over twenty courses are available in SCORM-wrapped courseware so you can deploy training on your own LMS. A dedicated implementation team is available for testing and implementation of SCORM-wrapped courseware to ensure a seamless training experience for your employees.<\/li>\n<li><strong>Truly Amazing Support &#8211;\u00a0<\/strong>A team of experts, with 300+ years of combined experience, is ready to support customers and to ensure an extraordinary student experience<\/li>\n<\/ul>\n<p>[\/vc_column_text]<\/div><!-- .columns-container --><\/div>\n    <script>\n    jQuery(window).load(function() {\n        var maxHeight = -1;\n\n   if ( jQuery(window).width() > 768) {\n   jQuery('.pro-p').each(function() {\n     maxHeight = maxHeight > jQuery(this).height() ? maxHeight : jQuery(this).height();\n   });\n   jQuery('.pro-p').each(function() {\n     jQuery(this).height(maxHeight);\n   });\n\t}\n\n   jQuery('.narrowcardH').each(function() {\n     maxHeight = maxHeight > jQuery(this).height() ? maxHeight : jQuery(this).height();\n   });\n   jQuery('.narrowcardH').each(function() {\n     jQuery(this).height(maxHeight);\n   });\n\n\n\n\n   });\n\n\n    <\/script><\/section>[\/vc_column][\/vc_row][vc_row equal_height=&#8221;yes&#8221; css=&#8221;.vc_custom_1561131120012{background-color: #f5f2ee !important;}&#8221; bg_color_overlay=&#8221;no-color&#8221; bg_color_overlay_bottom=&#8221;no-color&#8221;][vc_column]<section class=\"multi-column-section no-color\"><div class=\"multi-column-section-content\"><div class=\"columns-container\"><div class=\"single-column-container content-aligned-left\"><header class=\"module-heading\"><h1 class=\"section-title  no-color\">All-Access Firm Element for Corporations<\/h1><\/header>[vc_column_text]<\/p>\n<p style=\"text-align: left; font-size: 1.2rem;\">We continually update our courses and design new ones based on the needs of our clients and the current regulatory environment<\/p>\n<ul style=\"font-size: 1.2rem;\">\n<li>100+ courses<\/li>\n<li>Full team tracking and reporting<\/li>\n<li>24\/7 access<\/li>\n<li>Packages available for all company sizes<\/li>\n<li>Single or multi-year options available<\/li>\n<\/ul>\n<p>[\/vc_column_text]\t\t<a href=\"#getQuote\" class=\"button ghost color-stc-aqua \"><span class=\"button-text\">Get Quote<\/span><\/a>\n\t<\/div><div class=\"single-column-container\">[vc_single_image image=&#8221;21269&#8243; img_size=&#8221;520&#215;400&#8243; alignment=&#8221;center&#8221; css=&#8221;.vc_custom_1521480965895{margin-left: 25px !important;}&#8221;]<\/div><\/div><!-- .columns-container --><\/div>\n    <script>\n    jQuery(window).load(function() {\n        var maxHeight = -1;\n\n   if ( jQuery(window).width() > 768) {\n   jQuery('.pro-p').each(function() {\n     maxHeight = maxHeight > jQuery(this).height() ? maxHeight : jQuery(this).height();\n   });\n   jQuery('.pro-p').each(function() {\n     jQuery(this).height(maxHeight);\n   });\n\t}\n\n   jQuery('.narrowcardH').each(function() {\n     maxHeight = maxHeight > jQuery(this).height() ? maxHeight : jQuery(this).height();\n   });\n   jQuery('.narrowcardH').each(function() {\n     jQuery(this).height(maxHeight);\n   });\n\n\n\n\n   });\n\n\n    <\/script><\/section>[\/vc_column][\/vc_row][vc_row equal_height=&#8221;yes&#8221; bg_color_overlay=&#8221;no-color&#8221; bg_color_overlay_bottom=&#8221;no-color&#8221;][vc_column]<section class=\"multi-column-section no-color\"><div class=\"multi-column-section-content\"><div class=\"columns-container\"><div class=\"single-column-container\">[vc_single_image image=&#8221;24653&#8243; img_size=&#8221;520&#215;400&#8243; alignment=&#8221;center&#8221;]<\/div><div class=\"single-column-container content-aligned-left\"><header class=\"module-heading\"><h1 class=\"section-title  no-color\">Various STC Partner Options<\/h1><\/header>[vc_column_text]<\/p>\n<p style=\"text-align: left; font-size: 1.2rem;\">Purchase STC course content that can be used on your LMS.<\/p>\n<p style=\"text-align: left; font-size: 1.2rem;\">Does your firm have its own LMS, but requires a course that\u2019s offered by STC? A firm can purchase any course listed in STC\u2019s catalog and a file will be delivered which is uploaded onto the firm\u2019s own LMS.<\/p>\n<p style=\"text-align: left; font-size: 1.2rem;\">Does your firm want to host its proprietary courses on STC\u2019s LMS? This option can be used as an alternative to STC\u2019s course offerings.<\/p>\n<p>[\/vc_column_text]\t\t<a href=\"#getQuote\" class=\"button ghost color-stc-aqua \"><span class=\"button-text\">Learn More<\/span><\/a>\n\t<\/div><\/div><!-- .columns-container --><\/div>\n    <script>\n    jQuery(window).load(function() {\n        var maxHeight = -1;\n\n   if ( jQuery(window).width() > 768) {\n   jQuery('.pro-p').each(function() {\n     maxHeight = maxHeight > jQuery(this).height() ? maxHeight : jQuery(this).height();\n   });\n   jQuery('.pro-p').each(function() {\n     jQuery(this).height(maxHeight);\n   });\n\t}\n\n   jQuery('.narrowcardH').each(function() {\n     maxHeight = maxHeight > jQuery(this).height() ? maxHeight : jQuery(this).height();\n   });\n   jQuery('.narrowcardH').each(function() {\n     jQuery(this).height(maxHeight);\n   });\n\n\n\n\n   });\n\n\n    <\/script><\/section>[\/vc_column][\/vc_row][vc_row equal_height=&#8221;yes&#8221; css=&#8221;.vc_custom_1561131284591{background-color: #f5f2ee !important;}&#8221; bg_color_overlay=&#8221;no-color&#8221; bg_color_overlay_bottom=&#8221;no-color&#8221;][vc_column]<section class=\"multi-column-section no-color\"><div class=\"multi-column-section-content\"><div class=\"columns-container\"><div class=\"single-column-container content-aligned-left\"><header class=\"module-heading\"><h1 class=\"section-title  no-color\">Tracking and Reporting<\/h1><\/header>[vc_column_text]<\/p>\n<p style=\"text-align: left; font-size: 1.2rem;\">Our comprehensive record-keeping and reporting services significantly reduce the burden of time-consuming tracking and documentation. With our online delivery, STC provides seamless tracking that keeps you in control of your training. Diagnostic reports are easily retrieved from your desktop with just a few keystrokes and downloaded into Excel, Word, and Access formats.<\/p>\n<p>[\/vc_column_text]<\/div><div class=\"single-column-container\">[vc_single_image image=&#8221;24598&#8243; img_size=&#8221;520&#215;400&#8243; alignment=&#8221;center&#8221;]<\/div><\/div><!-- .columns-container --><\/div>\n    <script>\n    jQuery(window).load(function() {\n        var maxHeight = -1;\n\n   if ( jQuery(window).width() > 768) {\n   jQuery('.pro-p').each(function() {\n     maxHeight = maxHeight > jQuery(this).height() ? maxHeight : jQuery(this).height();\n   });\n   jQuery('.pro-p').each(function() {\n     jQuery(this).height(maxHeight);\n   });\n\t}\n\n   jQuery('.narrowcardH').each(function() {\n     maxHeight = maxHeight > jQuery(this).height() ? maxHeight : jQuery(this).height();\n   });\n   jQuery('.narrowcardH').each(function() {\n     jQuery(this).height(maxHeight);\n   });\n\n\n\n\n   });\n\n\n    <\/script><\/section>[\/vc_column][\/vc_row][vc_row equal_height=&#8221;yes&#8221; bg_color_overlay=&#8221;no-color&#8221; bg_color_overlay_bottom=&#8221;no-color&#8221;][vc_column]<section class=\"multi-column-section no-color\"><div class=\"multi-column-section-content\"><div class=\"columns-container\"><div class=\"single-column-container\">[vc_single_image image=&#8221;24599&#8243; img_size=&#8221;520&#215;400&#8243; alignment=&#8221;center&#8221;]<\/div><div class=\"single-column-container content-aligned-left\"><header class=\"module-heading\"><h1 class=\"section-title  no-color\">Annual Compliance Meeting<\/h1><\/header>[vc_column_text]<\/p>\n<p style=\"text-align: left; font-size: 1.2rem;\">Since 2006, FINRA allowed firms to use on-demand webcast technology to deliver their Annual Compliance Meeting (ACM) with no requirement for a live facilitator. STC helps firms deliver their ACM by enabling them to select firm-specific meeting topics and content.<\/p>\n<p>[\/vc_column_text]\t\t<a href=\"https:\/\/www.stcusa.com\/wp-content\/uploads\/2022\/08\/ACM-Catalog-2022-1.pdf\" class=\"button ghost color-stc-aqua \"><span class=\"button-text\">ACM Catalog<\/span><\/a>\n\t<\/div><\/div><!-- .columns-container --><\/div>\n    <script>\n    jQuery(window).load(function() {\n        var maxHeight = -1;\n\n   if ( jQuery(window).width() > 768) {\n   jQuery('.pro-p').each(function() {\n     maxHeight = maxHeight > jQuery(this).height() ? maxHeight : jQuery(this).height();\n   });\n   jQuery('.pro-p').each(function() {\n     jQuery(this).height(maxHeight);\n   });\n\t}\n\n   jQuery('.narrowcardH').each(function() {\n     maxHeight = maxHeight > jQuery(this).height() ? maxHeight : jQuery(this).height();\n   });\n   jQuery('.narrowcardH').each(function() {\n     jQuery(this).height(maxHeight);\n   });\n\n\n\n\n   });\n\n\n    <\/script><\/section>[\/vc_column][\/vc_row][vc_row equal_height=&#8221;yes&#8221; bg_color_overlay=&#8221;no-color&#8221; bg_color_overlay_bottom=&#8221;no-color&#8221; css=&#8221;.vc_custom_1561073407874{margin-top: 0px !important;background-color: #f5f2ee !important;}&#8221; el_class=&#8221;sec&#8221; el_id=&#8221;first-row&#8221;][vc_column css=&#8221;.vc_custom_1509422049736{padding-top: 90px !important;}&#8221;][vc_column_text]<\/p>\n<h1 class=\"section-title\" style=\"text-align: center;\">Selection of Available Courses<\/h1>\n<p>[\/vc_column_text]<section class=\"multi-column-section no-color\"><div class=\"multi-column-section-content\"><div class=\"columns-container\"><div class=\"single-column-container border-none\">[vc_single_image image=&#8221;24638&#8243; img_size=&#8221;80&#215;80&#8243; alignment=&#8221;center&#8221;]<header class=\"module-heading\"><h3 class=\"section-title h3 color-stc-aqua\">AML \u2013 Customer Due Diligence (CDD) Rule<\/h3><\/header>[vc_empty_space height=&#8221;10px&#8221;]\n<div class=\"column-content\">\n<p style=\"text-align: left\">FinCEN\u2019s long-anticipated Customer Due Diligence (CDD) Rule became effective in 2018 and FINRA has announced that it will be examining its members to ensure that they comply with it. Brokerage firms are now required to obtain and verify the identities of the individuals who control their corporate customers\u2019 accounts. This course explains the CDD rule and what needs to be done to be compliant<\/p>\n<\/div>\n<\/div><div class=\"single-column-container border-none\">[vc_single_image image=&#8221;20888&#8243; img_size=&#8221;80&#215;80&#8243; alignment=&#8221;center&#8221;]<header class=\"module-heading\"><h3 class=\"section-title h3 color-stc-aqua\">Financial Exploitation of Vulnerable Adults<\/h3><\/header>[vc_empty_space height=&#8221;10px&#8221;]\n<div class=\"column-content\">\n<p style=\"text-align: left\">The number of Americans who are 65 or older is expected to double by 2050. As people age, they may have difficulty understanding financial matters and making investment decisions. Sadly, seniors and younger adults with a mental or physical disability become vulnerable to financial abuse and exploitation. We cover the warning signs that suggest financial exploitation and discuss what to do if you suspect one of your clients may be a victim<\/p>\n<\/div>\n<\/div><div class=\"single-column-container border-none\">[vc_single_image image=&#8221;20575&#8243; img_size=&#8221;80&#215;80&#8243; alignment=&#8221;center&#8221;]<header class=\"module-heading\"><h3 class=\"section-title h3 color-stc-aqua\">Branch Office Inspections<\/h3><\/header>[vc_empty_space height=&#8221;10px&#8221;]\n<div class=\"column-content\">\n<p style=\"text-align: left\">Whether you work in a large office with many registered representatives or alone as an independent registered representative, branch examiners will be knocking on your door. Over the years, branch inspections have uncovered a wide variety of violations, such as unregistered personnel selling securities, unsuitable recommendations, inappropriate switching of securities, unauthorized outside activities, insider trading, the sale of unregistered securities, and a host of other problems. We cover the red flags that will catch the attention of the examiners.<\/p>\n<\/div>\n<\/div><\/div><!-- .columns-container --><\/div>\n    <script>\n    jQuery(window).load(function() {\n        var maxHeight = -1;\n\n   if ( jQuery(window).width() > 768) {\n   jQuery('.pro-p').each(function() {\n     maxHeight = maxHeight > jQuery(this).height() ? maxHeight : jQuery(this).height();\n   });\n   jQuery('.pro-p').each(function() {\n     jQuery(this).height(maxHeight);\n   });\n\t}\n\n   jQuery('.narrowcardH').each(function() {\n     maxHeight = maxHeight > jQuery(this).height() ? maxHeight : jQuery(this).height();\n   });\n   jQuery('.narrowcardH').each(function() {\n     jQuery(this).height(maxHeight);\n   });\n\n\n\n\n   });\n\n\n    <\/script><\/section>[\/vc_column][\/vc_row][vc_row el_class=&#8221;sec&#8221; bg_color_overlay=&#8221;no-color&#8221; bg_color_overlay_bottom=&#8221;no-color&#8221; css=&#8221;.vc_custom_1561073488160{background-color: #f5f2ee !important;}&#8221; el_id=&#8221;second-row&#8221;][vc_column]<section class=\"multi-column-section color-white\"><div class=\"multi-column-section-content\"><div class=\"columns-container\"><div class=\"single-column-container border-none\">[vc_single_image image=&#8221;24639&#8243; img_size=&#8221;80&#215;80&#8243; alignment=&#8221;center&#8221;]<header class=\"module-heading\"><h3 class=\"section-title h3 color-stc-aqua\">Gifts and Gratuities<\/h3><\/header>[vc_empty_space height=&#8221;10px&#8221;]\n<div class=\"column-content\">\n<p style=\"text-align: left\">The regulators are continually scrutinizing gift-giving and entertainment practices related to brokerage business. Firms and representatives should be wary about throwing a lavish party for counterparts at another firm or providing tickets to a sporting event. These seemingly innocuous actions may result in regulatory problems for representatives and their firms.<\/p>\n<\/div>\n<\/div><div class=\"single-column-container border-none\">[vc_single_image image=&#8221;22224&#8243; img_size=&#8221;80&#215;80&#8243; alignment=&#8221;center&#8221;]<header class=\"module-heading\"><h3 class=\"section-title h3 color-stc-aqua\">Digital Communications<\/h3><\/header>[vc_empty_space height=&#8221;10px&#8221;]\n<div class=\"column-content\">\n<p style=\"text-align: left\">The broad array of formats for digital communications, as well as devices that use those formats, have created multiple challenges for regulators and firms. What are the current rules for digital communications? What steps are firms required to take to filter and retain this wave of information?<\/p>\n<\/div>\n<\/div><div class=\"single-column-container border-none\">[vc_single_image image=&#8221;20889&#8243; img_size=&#8221;80&#215;80&#8243; alignment=&#8221;center&#8221;]<header class=\"module-heading\"><h3 class=\"section-title h3 color-stc-aqua\">Market Manipulation \u2013 Spoofing and Layering<\/h3><\/header>[vc_empty_space height=&#8221;10px&#8221;]\n<div class=\"column-content\">\n<p style=\"text-align: left\">FINRA recently announced that it would begin issuing a surveillance report card to firm\u2019s which would assess the effectiveness of their software systems in capturing and preventing market manipulation. The focus of the first report card was to detect layering and spoofing. The regulator uses its market surveillance programs to determine whether these techniques are occurring within a firm\u2019s business \u2014 either entirely throughout the firm\u2019s transaction systems or only one part of the firm. FINRA also focuses on how firms use information that\u2019s taken from the report cards to improve operations and compliance.<\/p>\n<\/div>\n<\/div><\/div><!-- .columns-container --><\/div>\n    <script>\n    jQuery(window).load(function() {\n        var maxHeight = -1;\n\n   if ( jQuery(window).width() > 768) {\n   jQuery('.pro-p').each(function() {\n     maxHeight = maxHeight > jQuery(this).height() ? maxHeight : jQuery(this).height();\n   });\n   jQuery('.pro-p').each(function() {\n     jQuery(this).height(maxHeight);\n   });\n\t}\n\n   jQuery('.narrowcardH').each(function() {\n     maxHeight = maxHeight > jQuery(this).height() ? maxHeight : jQuery(this).height();\n   });\n   jQuery('.narrowcardH').each(function() {\n     jQuery(this).height(maxHeight);\n   });\n\n\n\n\n   });\n\n\n    <\/script><\/section>[\/vc_column][\/vc_row][vc_row equal_height=&#8221;yes&#8221; bg_color_overlay=&#8221;no-color&#8221; bg_color_overlay_bottom=&#8221;no-color&#8221; css=&#8221;.vc_custom_1561073498435{margin-top: 0px !important;background-color: #f5f2ee !important;}&#8221; el_class=&#8221;sec&#8221; el_id=&#8221;third-row&#8221;][vc_column]<section class=\"multi-column-section no-color\"><div class=\"multi-column-section-content\"><div class=\"columns-container\"><div class=\"single-column-container border-none\">[vc_single_image image=&#8221;21336&#8243; img_size=&#8221;80&#215;80&#8243; alignment=&#8221;center&#8221;]<header class=\"module-heading\"><h3 class=\"section-title h3 color-stc-aqua\">Cybersecurity: FINRA Findings and Recommended Practices<\/h3><\/header>[vc_empty_space height=&#8221;10px&#8221;]\n<div class=\"column-content\">\n<p style=\"text-align: left\">The FINRA Report on Cybersecurity Practices concluded that broker-dealers face a variety of rapidly evolving threats and need a well-designed and adaptable program to address these threats. FINRA views this problem as high-priority and will be looking for evidence that a firm is making a good-faith effort to identify risks and taking steps to guard against their occurrence. Even if no customer is harmed, regulators may still bring an enforcement action if non-public information has been exposed to unauthorized persons. Training personnel on how to recognize and respond to threats reduces the likelihood that a cyberattack will be successful.<\/p>\n<\/div>\n<\/div><div class=\"single-column-container border-none\">[vc_single_image image=&#8221;24641&#8243; img_size=&#8221;80&#215;80&#8243; alignment=&#8221;center&#8221;]<header class=\"module-heading\"><h3 class=\"section-title h3 color-stc-aqua\">Preventing and Dealing with Sexual Harassment in the Workplace<\/h3><\/header>[vc_empty_space height=&#8221;10px&#8221;]\n<div class=\"column-content\">\n<p style=\"text-align: left\">Harassment prevention training is now mandatory for employers in many states. In fact, even if companies are not located in these states, they\u2019re well advised to provide this type of training to their employees. Using realistic examples and scenarios that are tailored to the financial industry, this program will help identify sexual harassment in the workplace, prevent it, and take appropriate action if it occurs.<\/p>\n<\/div>\n<\/div><div class=\"single-column-container border-none\">[vc_single_image image=&#8221;24642&#8243; img_size=&#8221;80&#215;80&#8243; alignment=&#8221;center&#8221;]<header class=\"module-heading\"><h3 class=\"section-title h3 color-stc-aqua\">Ethical Considerations for Operations Personnel<\/h3><\/header>[vc_empty_space height=&#8221;10px&#8221;]\n<div class=\"column-content\">\n<p style=\"text-align: left\">Although regulators typically focus their attention on employees who interact directly with the public, operations personnel also face regulatory scrutiny and are subject to strict legal and ethical obligations. The operations area, which has responsibility for trade confirmation, transaction settlement, custody, account transfer and maintenance, and securities lending, is also responsible for creating many of the records that a firm is required to maintain. By fulfilling their ethical obligations, operations personnel keep everyone out of trouble.<\/p>\n<\/div>\n<\/div><\/div><!-- .columns-container --><\/div>\n    <script>\n    jQuery(window).load(function() {\n        var maxHeight = -1;\n\n   if ( jQuery(window).width() > 768) {\n   jQuery('.pro-p').each(function() {\n     maxHeight = maxHeight > jQuery(this).height() ? maxHeight : jQuery(this).height();\n   });\n   jQuery('.pro-p').each(function() {\n     jQuery(this).height(maxHeight);\n   });\n\t}\n\n   jQuery('.narrowcardH').each(function() {\n     maxHeight = maxHeight > jQuery(this).height() ? maxHeight : jQuery(this).height();\n   });\n   jQuery('.narrowcardH').each(function() {\n     jQuery(this).height(maxHeight);\n   });\n\n\n\n\n   });\n\n\n    <\/script><\/section>[\/vc_column][\/vc_row][vc_row el_class=&#8221;sec fourth-row&#8221; bg_color_overlay=&#8221;no-color&#8221; bg_color_overlay_bottom=&#8221;no-color&#8221; css=&#8221;.vc_custom_1561076875586{background-color: #f5f2ee !important;}&#8221; el_id=&#8221;fourth-row&#8221;][vc_column]<section class=\"multi-column-section color-white\"><div class=\"multi-column-section-content\"><div class=\"columns-container\"><div class=\"single-column-container border-none\">[vc_single_image image=&#8221;24644&#8243; img_size=&#8221;80&#215;80&#8243; alignment=&#8221;center&#8221;]<header class=\"module-heading\"><h3 class=\"section-title h3 color-stc-aqua\">Protecting Customer and Yourself Against Fraud<\/h3><\/header>[vc_empty_space height=&#8221;10px&#8221;]\n<div class=\"column-content\">\n<p style=\"text-align: left\">FINRA has urged firms \u201cto be proactive in helping to educate customers about how to avoid being victims of financial fraud.\u201d Registered representatives are often in a unique position to help customers learn about how to avoid fraudulent solicitations. This module addresses cold-calling abuses, spreading false and misleading rumors, both penny stock and pump-and-dump schemes, Ponzi schemes, Internet investment fraud, and corporate fraud.<\/p>\n<\/div>\n<\/div><div class=\"single-column-container border-none\">[vc_single_image image=&#8221;24645&#8243; img_size=&#8221;80&#215;80&#8243; alignment=&#8221;center&#8221;]<header class=\"module-heading\"><h3 class=\"section-title h3 color-stc-aqua\">Ethical Decision Making for Commodities Professionals<\/h3><\/header>[vc_empty_space height=&#8221;10px&#8221;]\n<div class=\"column-content\">\n<p style=\"text-align: left\">Through a series of discussions and real-life scenarios, this module presents examples of ethical dilemmas and how to avoid them. Topics include knowing your firm\u2019s ethical standards, NFA rules, dealing fairly with customers and colleagues, insider trading, and fraud.<\/p>\n<\/div>\n<\/div><div class=\"single-column-container border-none\">[vc_single_image image=&#8221;24646&#8243; img_size=&#8221;80&#215;80&#8243; alignment=&#8221;center&#8221;]<header class=\"module-heading\"><h3 class=\"section-title h3 color-stc-aqua\">The SEC Share Class Initiative<\/h3><\/header>[vc_empty_space height=&#8221;10px&#8221;]\n<div class=\"column-content\">\n<p style=\"text-align: left\">Ensuring that investors are not overcharged for mutual funds has long been a major regulatory concern. The SEC is also investigating the way investment advisers select share classes of mutual funds and Section 529 college savings plans for their clients. This module will identify the different types of share classes, breakpoints, waivers, sales charges, and 12b-1 fees that are associated with them. Investment advisers have an obligation to recommend the share class that represents the best option for their clients.<\/p>\n<\/div>\n<\/div><\/div><!-- .columns-container --><\/div>\n    <script>\n    jQuery(window).load(function() {\n        var maxHeight = -1;\n\n   if ( jQuery(window).width() > 768) {\n   jQuery('.pro-p').each(function() {\n     maxHeight = maxHeight > jQuery(this).height() ? maxHeight : jQuery(this).height();\n   });\n   jQuery('.pro-p').each(function() {\n     jQuery(this).height(maxHeight);\n   });\n\t}\n\n   jQuery('.narrowcardH').each(function() {\n     maxHeight = maxHeight > jQuery(this).height() ? maxHeight : jQuery(this).height();\n   });\n   jQuery('.narrowcardH').each(function() {\n     jQuery(this).height(maxHeight);\n   });\n\n\n\n\n   });\n\n\n    <\/script><\/section>[vc_column_text]<a class=\"button ghost color-stc-purple \" href=\"https:\/\/www.stcusa.com\/wp-content\/uploads\/2024\/11\/STC24_FIRMElement_CE-Catalog-v16.pdf\" target=\"_blank\" rel=\"noopener noreferrer\"><span class=\"button-text\">See Full CE Course Catalog<\/span><\/a>[\/vc_column_text][\/vc_column][\/vc_row][vc_row css=&#8221;.vc_custom_1561077543891{padding-top: 90px !important;padding-bottom: 90px !important;background-color: #ffffff !important;}&#8221; bg_color_overlay=&#8221;no-color&#8221; bg_color_overlay_bottom=&#8221;no-color&#8221; el_id=&#8221;getQuote&#8221; section_id=&#8221;getQuote&#8221;][vc_column el_class=&#8221;ce-bottom&#8221;]<section class=\"multi-column-section no-color\"><div class=\"multi-column-section-content\"><div class=\"columns-container\"><div class=\"single-column-container border-none\">\n\t    <section class=\"hubspot-form-section color-stc-aqua border\">\n\t    \t\t<h2 class=\"section-title show\">Get a Quote or Learn More<span class=\"light-text show\">Connect with us today!<\/span><\/h2>\n\t        <div class=\"hubspot-form-container hubspot-form-container-id-741b5ed2-9c27-4edf-9401-a5948154c32a\" style=\"background-image: url(bg); background-size:contain; background-repeat:no-repeat;\">\n\t            <!--[if lte IE 8]>\n\t            <script charset=\"utf-8\" type=\"text\/javascript\" src=\"\/\/js.hsforms.net\/forms\/v2-legacy.js\"><\/script>\n\t            <![endif]-->\n\t            <script charset=\"utf-8\" type=\"text\/javascript\" src=\"\/\/js.hsforms.net\/forms\/v2.js\"><\/script>\n\t            <script>\n\t              hbspt.forms.create({\n\t                portalId: \"2618647\",\n\t                formId: \"741b5ed2-9c27-4edf-9401-a5948154c32a\",\n\t                cssClass: \"hubspot-form color-stc-aqua\",\n\t                target: \".hubspot-form-container-id-741b5ed2-9c27-4edf-9401-a5948154c32a\",\n\t                css: \"\"\n\t            });\n\t            <\/script>\n\t        <\/div>\n\t    <\/section><\/div><\/div><!-- .columns-container --><\/div>\n    <script>\n    jQuery(window).load(function() {\n        var maxHeight = -1;\n\n   if ( jQuery(window).width() > 768) {\n   jQuery('.pro-p').each(function() {\n     maxHeight = maxHeight > jQuery(this).height() ? 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