CE Council : Industry News http://cecouncil.com/ The latest Industry News from the Securities Industry Regulatory Council on Continuing Education en <![CDATA[FINRA Regulatory Notice 20-02 FINRA Requests Comment on the Effectiveness and Efficiency of Its Reporting Requirements Rule]]> http://cecouncil.com/media/266661/finra-regulatory-notice-20-02.pdf 1/9/2020 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2020-01 Obligations of Senior Syndicate Managers Utilizing Electronic Communications]]> http://cecouncil.com/media/266660/msrb-rn-2020-01.pdf 1/6/2020 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 19-37 SEC Approves Amendments to FINRA Rules 5130 and 5131 Relating to Equity IPOs]]> http://cecouncil.com/media/266657/finra-regulatory-notice-19-37.pdf 12/19/2019 12:00:00 AM CE Council <![CDATA[SEC Release No. 34-87782 Risk Mitigation Techniques for Uncleared Security-Based Swaps]]> http://cecouncil.com/media/266659/sec-release-34-87782.pdf 12/18/2019 12:00:00 AM CE Council <![CDATA[SEC Release No. 34-87780 Rule Amendments and Guidance Addressing Cross-Border Application of Certain Security-Based Swap Requirements]]> http://cecouncil.com/media/266658/sec-release-34-87780.pdf 12/18/2019 12:00:00 AM CE Council <![CDATA[SR-NASDAQ-2019-092 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 5515 Which Governs the Listing of Warrants on the Nasdaq Capital Market]]> http://cecouncil.com/media/266656/sr-nasdaq-2019-092.pdf 12/12/2019 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 19-36 FINRA Requests Comment on a Proposed Rule to Limit a Registered Person from Being Named a Customer’s Beneficiary or Holding a Position of Trust for or on Behalf of a Customer]]> http://cecouncil.com/media/266652/finra-regulatory-notice-19-36.pdf 11/11/2019 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2019-20 SEC Approves Amendments to Underwriters’ Fair Dealing Obligations to Issuers Under Rule G-17]]> http://cecouncil.com/media/266653/msrb-rn-2019-20.pdf 11/8/2019 12:00:00 AM CE Council <![CDATA[SR-NASDAQ-2019-086 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Permanent Certain Options Market Rules That Are Linked to the Equity Market Plan to Address Extraordinary Market Volatility]]> http://cecouncil.com/media/266651/sr-nasdaq-34-87370.pdf 10/21/2019 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2019-19 MSRB Revises Content Outline for the Municipal Advisor Principal Qualification Examination]]> http://cecouncil.com/media/266646/msrb-2019-19.pdf 10/18/2019 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 19-34 Annual Compliance Meetings Retrospective Rule Review Report and Guidance]]> http://cecouncil.com/media/266650/finra-regulatory-notice-19-34.pdf 10/18/2019 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2019-18 MSRB to Launch Permanent Series 54 Examination November 12, 2019]]> http://cecouncil.com/media/266647/msrb-2019-18.pdf 10/11/2019 12:00:00 AM CE Council <![CDATA[SR-NASDAQ-2019-064 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Certain Cutoff Times for On-Close Orders Entered for Participation in the Nasdaq Closing Cross and Adopt a Second Reference Price for Limit-on Close Orders]]> http://cecouncil.com/media/266645/nasdaq-34-87198.pdf 10/2/2019 12:00:00 AM CE Council <![CDATA[FINRA Information Notice 10/02/19 Cybersecurity Alert: CloudBased Email Account Takeovers]]> http://cecouncil.com/media/266643/finra-information-notice-100219.pdf 10/2/2019 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 19-32 FINRA Amends Rules 2210 and 2241 to Conform to the Fair Access to Investment Research Act of 2017]]> http://cecouncil.com/media/266644/finra-regulatory-notice-19-32.pdf 9/26/2019 12:00:00 AM CE Council <![CDATA[SEC Release No. 33-10695 Exchange-Traded Funds ]]> http://cecouncil.com/media/266642/sec-release-33-10695.pdf 9/25/2019 12:00:00 AM CE Council <![CDATA[SEC Release No. 33-10699 Solicitations of Interest Prior to a Registered Public Offering]]> http://cecouncil.com/media/266641/sec-release-33-10699.pdf 9/25/2019 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 19-30 TRACE Reporting of Transactions in U.S. Treasury Securities]]> http://cecouncil.com/media/266635/finra-regulatory-notice-19-30.pdf 9/19/2019 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 19-31 Disclosure Innovations in Advertising and Other Communications with the Public ]]> http://cecouncil.com/media/266636/finra-regulatory-notice-19-31.pdf 9/19/2019 12:00:00 AM CE Council <![CDATA[SEC Release No. 34-87005 Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers]]> http://cecouncil.com/media/266640/sec-release-no-34-87005.pdf 9/19/2019 12:00:00 AM CE Council