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 22-04 FINRA Reminds Member Firms of Obligation to Execute Marketable Customer Orders Fully and Promptly]]> http://cecouncil.com/media/266870/finra-regulatory-notice-22-04.pdf 1/21/2022 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 22-03 Security-Based Swaps]]> http://cecouncil.com/media/266869/finra-regulatory-notice-22-03.pdf 1/20/2022 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-45 FINRA Announces Update of the Interpretations of Financial and Operational Rules]]> http://cecouncil.com/media/266867/finra-regulatory-notice-21-45.pdf 12/28/2021 12:00:00 AM CE Council <![CDATA[SEC Release No. 34-93784 Prohibition Against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers; Position Reporting of Large Security-Based Swap Positions]]> http://cecouncil.com/media/266866/sec-release-no-34-93784.pdf 12/20/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-43 Prohibition on Borrowing From or Lending to Customers]]> http://cecouncil.com/media/266863/finra-regulatory-notice-21-43.pdf 12/16/2021 12:00:00 AM CE Council <![CDATA[MSRB Information Notice 2021-18 Second Request for Comment on Fair Dealing Solicitor Municipal Advisor Obligations and New Draft Rule G-46]]> http://cecouncil.com/media/266865/msrb-informational-notice-21-18.pdf 12/15/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-42 FINRA Alerts Firms to “Log4Shell” Vulnerability in Apache Log4j Software]]> http://cecouncil.com/media/266862/finra-regulatory-notice-21-42.pdf 12/14/2021 12:00:00 AM CE Council <![CDATA[MSRB Information Notice 2021-17 Request for Information on Environmental, Social and Governance (ESG) Practices in the Municipal Securities Market]]> http://cecouncil.com/media/266864/msrb-informational-notice-21-17.pdf 12/8/2021 12:00:00 AM CE Council <![CDATA[SEC Release No. 34-93701 Holding Foreign Companies Accountable Act Disclosure]]> http://cecouncil.com/media/266861/sec-release-no-34-93701.pdf 12/2/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-41 FINRA Amends Rules 1210 and 1240 to Enhance the Continuing Education Program for Securities Industry Professionals]]> http://cecouncil.com/media/266858/finra-regulatory-notice-21-41.pdf 11/17/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-40 FINRA Requests Comment on Amendments to Rule 11880 Shortening the Settlement of Syndicate Account]]> http://cecouncil.com/media/266859/finra-regulatory-notice-21-40.pdf 11/11/2021 12:00:00 AM CE Council <![CDATA[MSRB Information Notice 2021-14 MSRB Provides Additional Regulatory Relief During COVID-19 Pandemic]]> http://cecouncil.com/media/266857/msrb-informational-notice-21-14.pdf 10/26/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-36 Anti-Money Laundering and Countering the Financing of Terrorism]]> http://cecouncil.com/media/266846/finra-regulatory-notice-21-36.pdf 10/8/2021 12:00:00 AM CE Council <![CDATA[MSRB Approval Notice 2021-13 SEC Approves Amendments to Rules G-10 and G-48 Clarifying Notification Requirements for Dealers]]> http://cecouncil.com/media/266848/msrb-approval-notice-21-13.pdf 10/6/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-35 Order Routing Disclosures for OTC Equity Securities]]> http://cecouncil.com/media/266847/finra-regulatory-notice-21-35.pdf 10/6/2021 12:00:00 AM CE Council <![CDATA[NASAA Model Rule - Notice of Request for Public Comment Regarding Unpaid Arbitration Awards Model Rules]]> http://cecouncil.com/media/266850/nasaa-model-rule-100521.pdf 10/5/2021 12:00:00 AM CE Council <![CDATA[MSRB Request for Comment 2021-12 - Draft Compliance Resources for Dealers and Municipal Advisors Concerning New Issue Pricing]]> http://cecouncil.com/media/266849/msrb-request-for-comments-21-12.pdf 10/5/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-34 FINRA Adopts Rules to Address Firms with a Significant History of Misconduct]]> http://cecouncil.com/media/266844/finra-regulatory-notice-21-34.pdf 9/28/2021 12:00:00 AM CE Council <![CDATA[Order Approving a Proposed Rule Change to Amend FINRA Rules 1210 (Registration Requirements) and 1240 (Continuing Education Requirements)]]> http://cecouncil.com/media/266842/sec-release-no-34-93097.pdf 9/21/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-33 FINRA Adopts Amendments to Rule 6432 Regarding Compliance with the Information Requirements of SEC Rule 15c2-11]]> http://cecouncil.com/media/266843/finra-regulatory-notice-21-33.pdf 9/17/2021 12:00:00 AM CE Council