Quarterly Highlights Resources

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This online format provides easier access to relevant notices and resources about the specified subjects and will be updated quarterly to keep it current and relevant. The categories, listed on the left side of this page, are expandable and may contain additional information about suitability, supervision, and educational resources.

A PDF version of the document is also available for printing and searching. It can be found on the right side of the Quarterly Highlights Overview page. 

New and Upcoming Content

New:

FINRA Regulatory Notice 22-19 (August 8, 2022): Enhancement to ACATS “Receiver Delete” Functionality for alternative Investments
FINRA Regulatory Notice 22-18 (August 3, 2022): FINRA Reminds Firms of Their Obligation to Supervise for Digital Signature Forgery and Falsification
MRSB Regulatory Notice 2022-05 (July 25, 2022): MSRB to End Regulatory Relief that extended Certain Professional Qualification Requirements Due to COVID-19
SEC Release No. 34-95191 (June 30, 2022): Proposed Rule Change to Amend FINRA Rule 6120 (Trading Halts)
MSRB Regulatory Notice 2022-04 (June 24, 2022): MSRB Applies regulation Best Interest to Bank -Dealers and Amends the Quantitative Suitability Standard for Institutional SMMPs
FINRA Regulatory Notice 22-13 (June 14, 2022): Exemption from Trade Reporting Obligation for Certain Transaction on Alternative Trading Systems
SEC Release No. Release No. 34-95086 (June 10, 2022): Order Granting Approval to Amend the Provision of NYSE Rule 7.35B
CAT Announcement (June 2, 2022): CAT Full CAIS Certification and Compliance Deadlines Extended
FINRA Regulatory Notice 22-12 (May 15, 2022): FINRA Adopts Amendments to TRACE Reporting Rule to Require Identification of Portfolio Trades

Resources

• For more information visit the cecouncil.org website or contact CE Council member organizations.

• For compliance resources on issues affecting the security issue please visit FINRA Key Topics page.

• For more information on Firm Element please visit the CE Council Frequently Asked Questions page.

Historic FEA Information

FEA Materials

Firm Element Advisory - Q2 2022

Firm Element Advisory - Q1 2022

Firm Element Advisory - Q4 2021

Firm Element Advisory - Q3 2021

Firm Element Advisory - Q2 2021

Firm Element Advisory - Q1 2021

Firm Element Advisory - Q4 2020

Firm Element Advisory - Q3 2020

Firm Element Advisory - Q2 2020

Firm Element Advisory - Q1 2020

Firm Element Advisory - Q4 2019

Firm Element Advisory - Q3 3019

Firm Element Advisory - Q2 2019

Firm Element Advisory - Q1 2019

Firm Element Advisory - Q4 2018

Firm Element Advisory - Q3 2018

Firm Element Advisory - Q2 2018

Firm Element Advisory - Q1 2018

Firm Element Advisory - Q4 2017

Firm Element Advisory - Q3 2017

Firm Element Advisory - Q2 2017

Firm Element Advisory - Q1 2017