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 19-28 Guidance Regarding Member Firms’ Supervisory Obligations when Participating in Investment-Related Activities with Municipal Clients]]> http://cecouncil.com/media/266630/finra-regulatory-notice-19-28.pdf 8/16/2019 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 19-26 SEC Adopts Best Interest Standard of Conduct]]> http://cecouncil.com/media/266628/finra-regulatory-notice-19-26.pdf 8/7/2019 12:00:00 AM CE Council <![CDATA[SEC Release No. 34-86590 Amendments to Rules for Nationally Recognized Statistical Rating Organizations]]> http://cecouncil.com/media/266629/sec-release-34-86590.pdf 8/7/2019 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 19-25 FINRA Requests Comment on a Proposal to Require Reporting of Transactions in U.S. Dollar-Denominated Foreign Sovereign Debt Securities to TRACE]]> http://cecouncil.com/media/266627/finra-regulatory-notice-19-25.pdf 7/26/2019 12:00:00 AM CE Council <![CDATA[SR-NASDAQ-2019-044 Order Approving a Proposed Rule Change to Allow an Odd Lot-Sized Order to Be Eligible for the Midpoint Extended Life Order]]> http://cecouncil.com/media/266626/sr-nasdaq-34-86416.pdf 7/19/2019 12:00:00 AM CE Council <![CDATA[FINRA Trade Reporting Notice 7/19/19 FINRA Reminds Firms of Their Obligations Regarding TRACE Reporting]]> http://cecouncil.com/media/266625/finra-trade-reporting-notice-071919.pdf 7/19/2019 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 19-24 FINRA Encourages Firms to Notify FINRA if They Engage in Activities Related to Digital Assets]]> http://cecouncil.com/media/266624/finra-regulatory-notice-19-24.pdf 7/18/2019 12:00:00 AM CE Council <![CDATA[Securities and Exchange Commission Release No. 34-86351 Order Granting Approval of a Proposed Rule Change to Amend NYSE Rule 123D]]> http://cecouncil.com/media/266621/sec-release-no-34-86351.pdf 7/11/2019 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 19-23 FINRA Supplements Prior Guidance on Credit for Extraordinary Cooperation]]> http://cecouncil.com/media/266622/finra-regulatory-notice-19-23.pdf 7/11/2019 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 19-22 FINRA Requests Comment on a Proposal to Publish ATS Volume Data for Corporate Bonds and Agency Debt Securities on FINRA’s Website]]> http://cecouncil.com/media/266623/finra-regulatory-notice-19-22.pdf 7/9/2019 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 19-21 Margin Requirements for Exchange-Traded Notes]]> http://cecouncil.com/media/266619/finra-notice_regulatory_19-21.pdf 7/1/2019 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 19-15 SEC Approves Amendments to MSRB Rules and Data Collection Related to Primary Offering Practices]]> http://cecouncil.com/media/266617/msrb-2019-15.pdf 6/28/2019 12:00:00 AM CE Council <![CDATA[SEC Release No. 34-86246 Order Granting Approval of a Proposed Rule Change to Adopt Additional Requirements for Listings in Connection with an Offering Under Regulation A of the Securities Act]]> http://cecouncil.com/media/266618/sec-release-34-86246.pdf 6/28/2019 12:00:00 AM CE Council <![CDATA[SEC Release No. 34-86175 Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital and Segregation Requirements for Broker-Dealers]]> http://cecouncil.com/media/266614/sec-release-34-86175.pdf 6/21/2019 12:00:00 AM CE Council <![CDATA[SR-NYSE-2019-22 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 2, to Amend NYSE Rule 7.31 to Add a New Order Type, Capital Commitment Order, Modify the Market Order and the Last Sale Peg Modifier, and Make Related Changes to NYSE Rules 7.16, 7.18, 7.34, 7.36, and 7.37 ]]> http://cecouncil.com/media/266615/sr-nyse-2019-22-.pdf 6/20/2019 12:00:00 AM CE Council <![CDATA[Cboe RG19-022 Regulatory Division Contacts for Market Maker Quoting Issues and Late Withdrawals/Terminations]]> http://cecouncil.com/media/266611/cboe-rg19-022.pdf 6/18/2019 12:00:00 AM CE Council <![CDATA[SEC Release NO. 33-10648 Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships]]> http://cecouncil.com/media/266612/sec-release-33-10648.pdf 6/18/2019 12:00:00 AM CE Council <![CDATA[SEC Release No. 34-86073 Amendment to Single Issuer Exemption for Broker-Dealers]]> http://cecouncil.com/media/266609/sec-release-34-86073.pdf 6/10/2019 12:00:00 AM CE Council <![CDATA[Cboe RG19-021 Mandatory Participation in Disaster Recovery Testing]]> http://cecouncil.com/media/266610/cboe-rg19-021.pdf 6/10/2019 12:00:00 AM CE Council <![CDATA[SEC Release No. 34-86031 Regulation Best Interest: The Broker-Dealer Standard of Conduct ]]> http://cecouncil.com/media/266608/sec-34-86031.pdf 6/5/2019 12:00:00 AM CE Council