CE Council : Industry News http://cecouncil.com/ The latest Industry News from the Securities Industry Regulatory Council on Continuing Education en <![CDATA[SEC Release 34-96034 Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants ]]> http://cecouncil.com/media/266909/sec-release-34-96034.pdf 10/12/2022 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 22-21 - FINRA Alerts Firms to Recent Trend in Fraudulent Transfers of Accounts Through ACATS]]> http://cecouncil.com/media/266907/regulatory-notice-22-21.pdf 10/6/2022 12:00:00 AM CE Council <![CDATA[MEMX Regulatory Notice 22-07 Updated Clearly Erroneous Execution Rules]]> http://cecouncil.com/media/266910/memx-regulatory-notice-22-07.pdf 10/3/2022 12:00:00 AM CE Council <![CDATA[NASAA Comment Request 9.22 - Request for Public Comment on Proposed Revisions to the Uniform Application to Register Securities]]> http://cecouncil.com/media/266908/nasaa-comment-request-922.pdf 9/22/2022 12:00:00 AM CE Council <![CDATA[Cboe RN 22-013 Requirement to Provide Notification to the Exchange of Disciplinary Action]]> http://cecouncil.com/media/266902/rc22-013-requirement-to-provide-notification-to-the-exchange-of-disciplinary-action.pdf 9/8/2022 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2022-09 MSRB Amends Rule G-3 on Dealer Continuing Education Program Requirements ]]> http://cecouncil.com/media/266898/msrb-rn-2022-09.pdf 8/30/2022 12:00:00 AM CE Council <![CDATA[SEC Release 34-95620 Whistleblower Program Rules]]> http://cecouncil.com/media/266903/sec-release-34-95620.pdf 8/26/2022 12:00:00 AM CE Council <![CDATA[SEC Release 34-95607 Pay Versus Performance]]> http://cecouncil.com/media/266904/sec-release-34-95607.pdf 8/25/2022 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 22-19 Enhancement to ACATS “Receiver Delete” Functionality for Alternative Investments]]> http://cecouncil.com/media/266890/finra-regulatory-notice-22-19.pdf 8/8/2022 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 22-18 FINRA Reminds Firms of Their Obligation to Supervise for Digital Signature Forgery and Falsification]]> http://cecouncil.com/ 8/3/2022 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 22-17 FINRA Requests Comment on a Proposal to Shorten the Trade Reporting Timeframe for Transactions in Certain TRACE-Eligible Securities From 15 Minutes to One Minute]]> http://cecouncil.com/media/266892/finra-regulatory-notice-22-17.pdf 8/2/2022 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2022-07 Request for Comment on Transaction Reporting Obligations under MSRB Rule G-14]]> http://cecouncil.com/media/266899/msrb-rn-2022-07.pdf 8/2/2022 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2022-05 MSRB to End Regulatory Relief that Extended Certain Professional Qualification Requirements Due to COVID-19]]> http://cecouncil.com/media/266900/msrb-rn-2022-05.pdf 7/25/2022 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 22-16 FINRA Amends Its Rules Regarding Electronic Service and Filing of Documents in Disciplinary and Other Proceedings and Appeals]]> http://cecouncil.com/media/266893/finra-regulatory-notice-22-16.pdf 7/22/2022 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 22-15 Arbitration of Sexual Assault and Sexual Harassment Claims]]> http://cecouncil.com/media/266894/finra-regulatory-notice-22-15.pdf 7/15/2022 12:00:00 AM CE Council <![CDATA[SEC Release 34-95266 Proxy Voting Advice]]> http://cecouncil.com/media/266905/sec-release-34-95266.pdf 7/13/2022 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2022-04 MSRB Applies Regulation Best Interest to Bank-Dealers and Amends the Quantitative Suitability Standard for Institutional SMMPs]]> http://cecouncil.com/media/266901/msrb-rn-2022-04.pdf 6/24/2022 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 22-14 FINRA Requests Comment on Proposed Trade Reporting Requirements for Over-The-Counter Options Transactions]]> http://cecouncil.com/media/266895/finra-regulatory-notice-22-14.pdf 6/22/2022 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 22-13 Exemption From Trade Reporting Obligation for Certain Transactions on Alternative Trading Systems]]> http://cecouncil.com/media/266896/regulatory-notice-22-13.pdf 6/14/2022 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 22-12 FINRA Adopts Amendments to TRACE Reporting Rule to Require Identification of Portfolio Trades]]> http://cecouncil.com/media/266897/notice_regulatory_22-12.pdf 5/24/2022 12:00:00 AM CE Council