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 19-36 FINRA Requests Comment on a Proposed Rule to Limit a Registered Person from Being Named a Customer’s Beneficiary or Holding a Position of Trust for or on Behalf of a Customer]]> http://cecouncil.com/media/266652/finra-regulatory-notice-19-36.pdf 11/11/2019 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2019-20 SEC Approves Amendments to Underwriters’ Fair Dealing Obligations to Issuers Under Rule G-17]]> http://cecouncil.com/media/266653/msrb-rn-2019-20.pdf 11/8/2019 12:00:00 AM CE Council <![CDATA[SR-NASDAQ-2019-086 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Permanent Certain Options Market Rules That Are Linked to the Equity Market Plan to Address Extraordinary Market Volatility]]> http://cecouncil.com/media/266651/sr-nasdaq-34-87370.pdf 10/21/2019 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2019-19 MSRB Revises Content Outline for the Municipal Advisor Principal Qualification Examination]]> http://cecouncil.com/media/266646/msrb-2019-19.pdf 10/18/2019 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 19-34 Annual Compliance Meetings Retrospective Rule Review Report and Guidance]]> http://cecouncil.com/media/266650/finra-regulatory-notice-19-34.pdf 10/18/2019 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2019-18 MSRB to Launch Permanent Series 54 Examination November 12, 2019]]> http://cecouncil.com/media/266647/msrb-2019-18.pdf 10/11/2019 12:00:00 AM CE Council <![CDATA[SR-NASDAQ-2019-064 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Certain Cutoff Times for On-Close Orders Entered for Participation in the Nasdaq Closing Cross and Adopt a Second Reference Price for Limit-on Close Orders]]> http://cecouncil.com/media/266645/nasdaq-34-87198.pdf 10/2/2019 12:00:00 AM CE Council <![CDATA[FINRA Information Notice 10/02/19 Cybersecurity Alert: CloudBased Email Account Takeovers]]> http://cecouncil.com/media/266643/finra-information-notice-100219.pdf 10/2/2019 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 19-32 FINRA Amends Rules 2210 and 2241 to Conform to the Fair Access to Investment Research Act of 2017]]> http://cecouncil.com/media/266644/finra-regulatory-notice-19-32.pdf 9/26/2019 12:00:00 AM CE Council <![CDATA[SEC Release No. 33-10695 Exchange-Traded Funds ]]> http://cecouncil.com/media/266642/sec-release-33-10695.pdf 9/25/2019 12:00:00 AM CE Council <![CDATA[SEC Release No. 33-10699 Solicitations of Interest Prior to a Registered Public Offering]]> http://cecouncil.com/media/266641/sec-release-33-10699.pdf 9/25/2019 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 19-30 TRACE Reporting of Transactions in U.S. Treasury Securities]]> http://cecouncil.com/media/266635/finra-regulatory-notice-19-30.pdf 9/19/2019 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 19-31 Disclosure Innovations in Advertising and Other Communications with the Public ]]> http://cecouncil.com/media/266636/finra-regulatory-notice-19-31.pdf 9/19/2019 12:00:00 AM CE Council <![CDATA[SEC Release No. 34-87005 Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers]]> http://cecouncil.com/media/266640/sec-release-no-34-87005.pdf 9/19/2019 12:00:00 AM CE Council <![CDATA[SR-NASDAQ-2019-073 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning the Operation of the Nasdaq Opening, Halt and Closing Crosses]]> http://cecouncil.com/media/266639/sec-release-no-34-87031.pdf 9/19/2019 12:00:00 AM CE Council <![CDATA[SEC Release Release no. BHCA-7 Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds]]> http://cecouncil.com/media/266638/sec-release-no-bhca-7.pdf 9/18/2019 12:00:00 AM CE Council <![CDATA[SR-NASDAQ-2019-066 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify Rule 4120(c)(9)]]> http://cecouncil.com/media/266633/sec-release-34-86857.pdf 9/3/2019 12:00:00 AM CE Council <![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