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 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 <![CDATA[FINRA Regulatory Notice 21-32 FINRA Requests Comment on Its Policy Relating to the Assignment of OTC Symbols to Unlisted Equity Securities]]> http://cecouncil.com/media/266839/finra-regulatory-notice-21-32.pdf 9/14/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-31 FINRA Establishes New Supplemental Liquidity Schedule (SLS)]]> http://cecouncil.com/media/266838/finra-regulatory-notice-21-31.pdf 9/3/2021 12:00:00 AM CE Council <![CDATA[MSRB Information Notice 2021-11 MSRB Provides Further Extension of Time to Take the Series 54 Qualification Examination]]> http://cecouncil.com/media/266840/msrb-informational-notice-21-11.pdf 9/2/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-29 Vendor Management and Outsourcing]]> http://cecouncil.com/media/266836/finra-regulatory-notice-21-29.pdf 8/13/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-30 FINRA Alerts Firms to a Phishing Email Campaign Using Multiple Imposter FINRA Domain Names]]> http://cecouncil.com/media/266837/finra-regulatory-notice-21-30.pdf 8/13/2021 12:00:00 AM CE Council <![CDATA[MSRB Information Notice 2021-10 MSRB Provides Interim Accommodation for the Municipal Advisor Principal Qualification Examination (Series 54 Exam)]]> http://cecouncil.com/media/266835/msrb-informational-notice-21-10.pdf 8/11/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-28 Regulation of Inter-dealer Quotation Systems]]> http://cecouncil.com/media/266834/finra-regulatory-notice-21-28.pdf 8/6/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-27 SEC Financial Responsibility Rules]]> http://cecouncil.com/media/266833/finra-regulatory-notice-21-27.pdf 7/22/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-26 FINRA Amends Rules 5122 and 5123 Filing Requirements to Include Retail Communications That Promote or Recommend Private Placements]]> http://cecouncil.com/media/266831/finra-regulatory-notice-21-26.pdf 7/15/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-25 FINRA Continues to Encourage Firms to Notify FINRA if They Engage in Activities Related to Digital Assets]]> http://cecouncil.com/media/266832/finra-regulatory-notice-21-25.pdf 7/8/2021 12:00:00 AM CE Council <![CDATA[FINRA Special Notice 6.30.21 FINRA Requests Comment on Effective Methods to Educate Newer Investors]]> http://cecouncil.com/media/266830/finra-special-notice-063021.pdf 6/30/2021 12:00:00 AM CE Council <![CDATA[FINRA-2021-015 Proposed Rule Change to Amend FINRA Rules 1210 (Registration Requirements) and 1240 (Continuing Education Requirements) ]]> http://cecouncil.com/media/266829/sr-finra-2021-015.pdf 6/24/2021 12:00:00 AM CE Council