Tag: Continuing Education
-
Episode 3: Unlock Your Inner Entrepreneur
We welcomed business thought leader Eleanor Beaton in Episode 3, who gave sound advice to those who want to start their own business and how to bring an entrepreneurial mindset to your […] Read More
-
Comment Letter: FINRA Continuing Education
The Security Traders Association (“STA”) appreciates the opportunity to offer comments on FINRA Regulatory Notice 18-26 (“Notice”) which seeks industry input on, “…enhancements to the Securities Industry Continuing Education Program […] Read More
-
Does the World Really Need Another Realtor?
If you recall, we published an article in June 2017 titled, Lawyers vs. Brokers. In that article we make mention of a then recent comment letter STA filed on FINRA’s lapsed license policy […] Read More
-
Open Call Report – New FINRA Exam Process
In July 2017 the SEC approved FINRA’s proposed rule change to streamline competency exams and expand opportunities for prospective securities professionals STA Open Call – November 29, 2017 – Call […] Read More
-
STA Comment Letter on Lapsed Licenses
Newsletter No.30 STA recently filed a comment letter that included a recommendation on an issue that acutely impacts women in finance: lapsed licenses. According to FINRA regulations, a Series 7 […] Read More
-
Lawyers vs. Brokers
STA recently filed a comment letter that included a recommendation on an issue that acutely impacts women in finance: lapsed licenses. According to FINRA regulations, a Series 7 license expires […] Read More