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 21-01 BD and IA Renewals for 2021]]> http://cecouncil.com/media/266795/finra-regulatory-notice-21-01.pdf 1/4/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 20-43 Trade Reporting and Compliance Engine (TRACE)]]> http://cecouncil.com/media/266794/finra-regulatory-notice-20-43.pdf 12/23/2020 12:00:00 AM CE Council <![CDATA[Cboe Regulatory Circular 20-052 Prearranged Trades]]> http://cecouncil.com/media/266797/cboe-regulatory-circular-20-052.pdf 12/21/2020 12:00:00 AM CE Council <![CDATA[Cboe Regulatory Circular 20-051 Violations of Trading Conduct and Decorum Policies]]> http://cecouncil.com/media/266796/cboe-regulatory-circular-20-051.pdf 12/17/2020 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 20-42 FINRA Seeks Comment on Lessons From the COVID-19 Pandemic ]]> http://cecouncil.com/media/266793/finra-regulatory-notice-20-42.pdf 12/16/2020 12:00:00 AM CE Council <![CDATA[Cboe Regulatory Circular 20-050 COVID-19 Policy and Requirements]]> http://cecouncil.com/media/266792/cboe-regulatory-circular-20-050.pdf 12/15/2020 12:00:00 AM CE Council <![CDATA[SEC Release No. 34-90610 Market Data Infrastructure]]> http://cecouncil.com/media/266791/sec-release-no-34-90610.pdf 12/9/2020 12:00:00 AM CE Council <![CDATA[MSRB Notice Request for Comment 2020-19 MSRB Requests Input on Strategic Goals and Priorities]]> http://cecouncil.com/media/266790/msrb-notice-request-for-comment-2020-19.pdf 12/7/2020 12:00:00 AM CE Council <![CDATA[SEC Release No. IC-34128 Good Faith Determinations of Fair Value]]> http://cecouncil.com/media/266789/sec-release-no-ic-34128.pdf 12/3/2020 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 20-41 Equity Trade Reporting]]> http://cecouncil.com/media/266787/finra-regulatory-notice-20-41.pdf 12/2/2020 12:00:00 AM CE Council <![CDATA[MSRB Information Notice 2020-18 MSRB Provides Additional Regulatory Relief During COVID-19 Pandemic]]> http://cecouncil.com/media/266788/msrb-information-notice-2020-18.pdf 12/2/2020 12:00:00 AM CE Council <![CDATA[FINRA Information Notice 12.01.20 Holiday Margin Extensions Schedule]]> http://cecouncil.com/media/266786/finra-information-notice-120120.pdf 12/1/2020 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 20-40 Phishing Email Purporting to Be from FINRA]]> http://cecouncil.com/media/266785/finra-regulatory-notice-20-40.pdf 11/30/2020 12:00:00 AM CE Council <![CDATA[MSRB Information Notice 2020-17: Reminder for Regulated Entities of Their Annual Notification Requirements Under Rule G-10]]> http://cecouncil.com/media/266776/msrb-information-notice-2020-17.pdf 11/20/2020 12:00:00 AM CE Council <![CDATA[SEC Release No. 33-10890: Management’s Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information]]> http://cecouncil.com/media/266777/sec-release-no-33-10890.pdf 11/19/2020 12:00:00 AM CE Council <![CDATA[SEC Release No. 34-90442 Amendments to the Commission’s Rules of Practice]]> http://cecouncil.com/media/266775/sec-release-no-34-90442.pdf 11/17/2020 12:00:00 AM CE Council <![CDATA[SEC Release No. IC-34084 Use of Derivatives by Registered Investment Companies and Business Development Companies]]> http://cecouncil.com/media/266771/sec-release-ic-34084.pdf 11/2/2020 12:00:00 AM CE Council <![CDATA[SEC Release No. 33-10884 Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets]]> http://cecouncil.com/media/266772/sec-release-33-10884.pdf 11/2/2020 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 20-38 Registered Person Being Named a Customer’s Beneficiary or Holding a Position of Trust for a Customer]]> http://cecouncil.com/media/266768/finra-regulatory-notice-20-38.pdf 10/29/2020 12:00:00 AM CE Council <![CDATA[SEC Release No. 34-90244 Customer Margin Rules Relating to Security Futures]]> http://cecouncil.com/media/266767/sec-release-34-90244.pdf 10/22/2020 12:00:00 AM CE Council