CE Council : Industry News http://cecouncil.com/ The latest Industry News from the Securities Industry Regulatory Council on Continuing Education en <![CDATA[MSRB Regulatory Notice 2019-12 MSRB Proposes to Eliminate MSRB Rule G-29, on Availability of Board Rules]]> http://cecouncil.com/media/266588/msrb-rn-2019-12.pdf 4/19/2019 12:00:00 AM CE Council <![CDATA[Cboe Options Regulatory Circular RG14-029 Deletion of Certain Broad-Based Index Reporting Requirements]]> http://cecouncil.com/media/266589/cboe-rg19-016.pdf 4/16/2019 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 19-13 SEC Approves Amendments to FINRA Rule 4512 to Permit the Use of Electronic Signatures for Discretionary Accounts]]> http://cecouncil.com/media/266590/finra-regulatory-notice-19-13.pdf 4/16/2019 12:00:00 AM CE Council <![CDATA[SR-NYSE-2019-16 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.31(i)(4) Relating to the Last Sale Peg Modifier.]]> http://cecouncil.com/media/266587/sr-nyse-2019-16.pdf 4/15/2019 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 19-12 FINRA Requests Comment on a Proposed Pilot Program to Study Recommended Changes to Corporate Bond Block Trade Dissemination]]> http://cecouncil.com/media/266586/finra-regulatory-notice-19-12.pdf 4/12/2019 12:00:00 AM CE Council <![CDATA[SR-NASDAQ-2019-028]]> http://cecouncil.com/media/266584/sr-nasdaq-2019-028.pdf 4/11/2019 12:00:00 AM CE Council <![CDATA[SR-NYSE-2019-17 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Rule 7.10, Clearly Erroneous Executions, and Rule 128, Clearly Erroneous Executions for NYSE Equities]]> http://cecouncil.com/media/266582/sr-nyse-34-85523.pdf 4/5/2019 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 19-10 FINRA Provides Guidance on Customer Communications Related to Departing Registered Representatives]]> http://cecouncil.com/media/266583/finra-regulatory-notice-19-10.pdf 4/5/2019 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2019-10 MSRB Proposes Amendments to Rules Related to Primary Offering Practices]]> http://cecouncil.com/media/266579/msrb-rn-2019-10.pdf 3/21/2019 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 19-09 FINRA Reminds Firms of Their Obligations Under SEC Rule 15c2-11(a)(4]]> http://cecouncil.com/ 3/20/2019 12:00:00 AM CE Council <![CDATA[SR-NASDAQ-2019-013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New SCAR Routing Option]]> http://cecouncil.com/media/266580/sr-nasdaq-2019-013.pdf 3/20/2019 12:00:00 AM CE Council <![CDATA[SR-NYSE-2019-09 New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change to Amend Rules 104 and 36 to Require and Facilitate Routine Communications Between Designated Market Makers (“DMMs”) and Designated Representatives of Listed Issuers]]> http://cecouncil.com/media/266581/sr-nyse-2019-09.pdf 3/20/2019 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 19-08 Guidance on FOCUS Reporting for Operating Leases]]> http://cecouncil.com/media/266575/finra-regulatory-notice-19-08.pdf 3/19/2019 12:00:00 AM CE Council <![CDATA[SR-NASDAQ-2019-014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4703 to Make Clarifying Changes]]> http://cecouncil.com/media/266577/sr-nasdaq-2019-014.pdf 3/19/2019 12:00:00 AM CE Council <![CDATA[SR-NASDAQ-2018-079 Order Granting Approval of a Proposed Rule Change to Amend Nasdaq Rules 5705 and 5710 to Adopt a Disclosure Requirement for Certain Securities]]> http://cecouncil.com/media/266576/sr-nasdaq-2018-079.pdf 3/19/2019 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2019-09 Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing]]> http://cecouncil.com/media/266574/msrb-rn-2019-09.pdf 3/13/2019 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2019-08 Request for Comment on MSRB Rule G-34 Obligation of Municipal Advisors to Apply for CUSIP Numbers When Advising on Competitive Sales]]> http://cecouncil.com/media/266572/msrb-2019-08.pdf 2/27/2019 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2019-07 MSRB Establishes Effective Date for Advertising Rules and Provides Social Media Guidance and Related Rule Amendments]]> http://cecouncil.com/media/266571/msrb-2019-07.pdf 2/26/2019 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 19-06 FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on Business Continuity Plans and Emergency Contact Information]]> http://cecouncil.com/media/266570/finra-regulatory-notice-19-06.pdf 2/25/2019 12:00:00 AM CE Council <![CDATA[FINRA Information Notice 02/13/19 FINRA Warns of Fraudulent Phishing Emails Targeting Member Firms]]> http://cecouncil.com/media/266567/finra-information-notice-021319.pdf 2/13/2019 12:00:00 AM CE Council