CE Council : Industry News http://cecouncil.com/ The latest Industry News from the Securities Industry Regulatory Council on Continuing Education en <![CDATA[Cboe RG18-005 Annual Supervision-Related Reporting Pursuant to Cboe/C2 Options Rules 4.24 and 9.8]]> http://cecouncil.com/media/266474/cboe-rg18-005.pdf 2/14/2018 12:00:00 AM CE Council <![CDATA[Cboe RG18-004 Anti-Money Laundering Compliance Program - Customer Due Diligence Requirements and Filing Requirements for Certain Trading Permit Holders]]> http://cecouncil.com/ 2/14/2018 12:00:00 AM CE Council <![CDATA[SR-FINRA-2018-007 Proposed Rule Change to Revise the Investment Company and Variable Contracts Products Representative (Series 6) Examination]]> http://cecouncil.com/media/266470/sr-finra-2018-007.pdf 2/12/2018 12:00:00 AM CE Council <![CDATA[SR-FINRA-2018-008 Proposed Rule Change to Revise the Direct Participation Programs Representative (Series 22) Examination]]> http://cecouncil.com/media/266471/sr-finra-2018-008.pdf 2/12/2018 12:00:00 AM CE Council <![CDATA[SR-FINRA-2018-009 Proposed Rule Change to Revise the Direct Participation Programs Representative (Series 22) Examination]]> http://cecouncil.com/ 2/12/2018 12:00:00 AM CE Council <![CDATA[SR-FINRA-2018-010 Proposed Rule Change to Revise the Securities Trader (Series 57) Examination]]> http://cecouncil.com/media/266472/sr-finra-2018-010.pdf 2/12/2018 12:00:00 AM CE Council <![CDATA[SR-FINRA-2018-011 Proposed Rule Change to Revise the Private Securities Offerings Representative (Series 82) Examination]]> http://cecouncil.com/media/266473/sr-finra-2018-011.pdf 2/12/2018 12:00:00 AM CE Council <![CDATA[SR-FINRA-2018-004 Proposed Rule Change to Revise the Investment Banking Representative (Series 79) Examination]]> http://cecouncil.com/media/266469/sr-finra-2018-004.pdf 2/9/2018 12:00:00 AM CE Council <![CDATA[SR-FINRA-2018-005 Proposed Rule Change to Revise the Research Analyst (Series 86 and 87) Examinations]]> http://cecouncil.com/media/266468/sr-finra-2018-005.pdf 2/9/2018 12:00:00 AM CE Council <![CDATA[SR-FINRA-2018-006 Proposed Rule Change to Revise the Operations Professional (Series 99) Examination]]> http://cecouncil.com/media/266467/sr-finra-2018-006.pdf 2/9/2018 12:00:00 AM CE Council <![CDATA[SR-FINRA-2018-002 Proposed Rule Change Relating to the New Securities Industry Essentials (SIE) Examination]]> http://cecouncil.com/media/266466/sr-finra-2018-002.pdf 1/29/2018 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2018-01 MSRB Reminds Dealers of Existing Guidance on Filtering of Bids and Offers]]> http://cecouncil.com/media/266465/msrb-regulatory-notice-2018-01.pdf 1/3/2018 12:00:00 AM CE Council <![CDATA[CSX Information Memorandum 17-09 Amendments to CHX Rules Addressing Qualified Contingent Trades, Cross Orders and CHX Recordkeeping Requirements]]> http://cecouncil.com/media/266464/mr-17-09_qcts_broker_back_office_and_recordkeeping_requirements.pdf 12/18/2017 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2017-25 MSRB to Amend Rule G-34, on CUSIP Numbers, New Issue, and Market Information Requirements]]> http://cecouncil.com/media/266463/msrb-regulatory-notice-2017-25.pdf 12/15/2017 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 17-43 Guidance on Reporting Short Interest Positions Held in Master/Sub-Accounts or Parent/Child Accounts]]> http://cecouncil.com/media/266462/regulatory-notice-17-43.pdf 12/6/2017 12:00:00 AM CE Council <![CDATA[SR-NASDAQ-2017-121 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4759 ]]> http://cecouncil.com/media/266461/sr-nasdaq-2017-121.pdf 12/5/2017 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 17-40 FINRA Provides Guidance to Firms Regarding AntiMoney Laundering Program Requirements Under FINRA Rule 3310 Following Adoption of FinCEN’s Final Rule to Enhance Customer Due Diligence Requirements for Financial Institutions ]]> http://cecouncil.com/media/266458/regulatory-notice-17-40.pdf 11/21/2017 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2017-22 MSRB Seeks Input on Compliance Support]]> http://cecouncil.com/media/266455/msrb-regulatory-notice-2017-22ashx.pdf 11/16/2017 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 17-39 SEC Approves the CAT Fee Dispute Resolution Process]]> http://cecouncil.com/media/266457/regulatory-notice-17-39.pdf 11/15/2017 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 17-38 FINRA Requests Comment on a Proposal to Amend Rule 3110 (Supervision) to Provide Firms the Option to Conduct Remote Inspections of Offices and Locations That Meet Specified Criteria]]> http://cecouncil.com/media/266456/regulatory-notice-17-38.pdf 11/13/2017 12:00:00 AM CE Council