CE Council : Industry News http://cecouncil.com/ The latest Industry News from the Securities Industry Regulatory Council on Continuing Education en <![CDATA[Guidance to Members Affected by Hurricane Harvey]]> http://cecouncil.com/media/266440/regulatory-notice-17-27.pdf 8/30/2017 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2017-16 SEC Approves Amendments to the MSRB’s Rule on Municipal Fund Security Product Advertisements]]> http://cecouncil.com/media/266438/msrb-rn-2017-16ashx.pdf 8/21/2017 12:00:00 AM CE Council <![CDATA[SR-NASDAQ-2017-084 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Address the Application of Rule 11140 in Connection with the Implementation of the Shortened Settlement Cycle (T+2) on September 5, 2017]]> http://cecouncil.com/media/266439/sr-nasdaq-2017-084.pdf 8/21/2017 12:00:00 AM CE Council <![CDATA[SR-NASDAQ-2017-078 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter V, Section 6, Nullification and Adjustment of Options Transactions Including Obvious Errors]]> http://cecouncil.com/ 8/7/2017 12:00:00 AM CE Council <![CDATA[CBOE Regulatory Circular 17-108 Marketable AIM Auction Responses]]> http://cecouncil.com/media/266436/cboe-rg17-108.pdf 8/1/2017 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2017-15 SEC Approves Amendments to MSRB Rule G-26 on Customer Account Transfers]]> http://cecouncil.com/media/266437/msrb-rg-2017-15.pdf 7/31/2017 12:00:00 AM CE Council <![CDATA[SR-NASDAQ-2017-073 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options Market Rules at Chapter IV, Section 6 ]]> http://cecouncil.com/media/266435/sr-nasdaq-2017-073.pdf 7/28/2017 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2017-14 Market Advisory on Issuer’s Designation of Underwriter’s Counsel]]> http://cecouncil.com/media/266434/msrb-rn-2017-14.pdf 7/27/2017 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2017-13 MSRB Provides Guidance on Duties of Non-Solicitor Municipal Advisors in Conduit Financing Scenarios]]> http://cecouncil.com/media/266433/msrb-rn-2017-13.pdf 7/13/2017 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 17-24 FINRA Issues Guidance on the Enhanced Confirmation Disclosure Requirements in Rule 2232 for Corporate and Agency Debt Securities]]> http://cecouncil.com/media/266431/regulatory-notice-17-24.pdf 7/12/2017 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2017-12 MSRB Provides Implementation Guidance on Confirmation Disclosure and Prevailing Market Price]]> http://cecouncil.com/media/266432/msrb-rn-2017-12.pdf 7/12/2017 12:00:00 AM CE Council <![CDATA[SR-NASDAQ-2016-161 Order Approving a Proposed Rule Change to Adopt a New Extended Life Priority Order Attribute under Rule 4703]]> http://cecouncil.com/media/266430/sr-nasdaq-2016-161.pdf 7/7/2017 12:00:00 AM CE Council <![CDATA[CBOE RG17-085 Prearranged Trades]]> http://cecouncil.com/media/266429/cboe-regulatory-circular-rg17-085.pdf 6/23/2017 12:00:00 AM CE Council <![CDATA[SR-NASDAQ-2017-060 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7014(j)]]> http://cecouncil.com/media/266428/sr-nasdaq-2017-060.pdf 6/22/2017 12:00:00 AM CE Council <![CDATA[SR-NASDAQ-2017-058 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Initial and Continued Listing Standards for the Listing of Equity Investment Tracking Stocks]]> http://cecouncil.com/media/266427/sr-nasdaq-2017-058.pdf 6/21/2017 12:00:00 AM CE Council <![CDATA[Trade Reporting Notice 6/12/17 Effective Date for Required Use of TRACE for Treasuries Modifiers]]> http://cecouncil.com/media/266426/trade-reporting-notice-061217.pdf 6/12/2017 12:00:00 AM CE Council <![CDATA[CBOE RG17-082 Market Maker Equity Reports]]> http://cecouncil.com/media/266424/cboe-rg17-082.pdf 6/9/2017 12:00:00 AM CE Council <![CDATA[CBOE RG17-083 Trade Reporting Duties]]> http://cecouncil.com/media/266425/cboe-rg17-083.pdf 6/9/2017 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 17-22 FINRA Adopts Rules on Disruptive Quoting and Trading Activity and Expedited Proceedings]]> http://cecouncil.com/media/266423/regulatory-notice-17-22.pdf 6/7/2017 12:00:00 AM CE Council <![CDATA[SR-Nasdaq-2017-052 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 5735]]> http://cecouncil.com/media/266421/sr-nasdaq-2017-052.pdf 5/30/2017 12:00:00 AM CE Council