CE Council : Industry News http://cecouncil.com/ The latest Industry News from the Securities Industry Regulatory Council on Continuing Education en <![CDATA[SEC Release No. 34-83062 Proposed Rule Regulation Best Interest]]> http://cecouncil.com/media/266485/sec-release-34-83062.pdf 4/18/2018 12:00:00 AM CE Council <![CDATA[SEC Release 34-83063 Proposed Rule on Form CRS Relationship Summary; Amendments to Form ADV; Required Disclosures in Retail Communications and Restrictions on the use of Certain Names or Titles]]> http://cecouncil.com/media/266486/sec-release-34-83063.pdf 4/18/2018 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2018-07 Notice Regarding Transactions in the Municipal Securities of Distressed Municipalities]]> http://cecouncil.com/media/266484/msrb-regulatory-notice-2018-07.pdf 4/12/2018 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2018-06 MSRB Provides Investor Education Resources on New Mark-Up Disclosure Requirements]]> http://cecouncil.com/media/266483/msrb-regulatory-notice-2018-06.pdf 4/4/2018 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 18-11 FINRA Cautions Members Regarding Recommending and Entering Unpriced Customer Orders at and Around the Opening on the First Day of Trading of a Direct Listing]]> http://cecouncil.com/media/266482/regulatory-notice-18-11.pdf 3/28/2018 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 18-10 FINRA Requests Comment on the Effectiveness and Efficiency of Its Carrying Agreements Rule]]> http://cecouncil.com/media/266481/regulatory-notice-18-10.pdf 3/23/2018 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2018-05 MSRB Provides New and Updated FAQs on Confirmation Disclosure and Prevailing Market Price]]> http://cecouncil.com/media/266480/msrb-regulatory-notice-2018-05.pdf 3/19/2018 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2018-04 Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing]]> http://cecouncil.com/media/266479/msrb-notice-2018-04.pdf 3/13/2018 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 18-08 FINRA Requests Comment on Proposed New Rule Governing Outside Business Activities and Private Securities Transactions ]]> http://cecouncil.com/media/266478/regulatory-notice-18-08.pdf 2/26/2018 12:00:00 AM CE Council <![CDATA[Cboe RG18-005 Annual Supervision-Related Reporting Pursuant to Cboe/C2 Options Rules 4.24 and 9.8]]> http://cecouncil.com/media/266474/cboe-rg18-005.pdf 2/14/2018 12:00:00 AM CE Council <![CDATA[Cboe RG18-004 Anti-Money Laundering Compliance Program - Customer Due Diligence Requirements and Filing Requirements for Certain Trading Permit Holders]]> http://cecouncil.com/media/266476/cboe-rg18-004.pdf 2/14/2018 12:00:00 AM CE Council <![CDATA[SR-FINRA-2018-007 Proposed Rule Change to Revise the Investment Company and Variable Contracts Products Representative (Series 6) Examination]]> http://cecouncil.com/media/266470/sr-finra-2018-007.pdf 2/12/2018 12:00:00 AM CE Council <![CDATA[SR-FINRA-2018-008 Proposed Rule Change to Revise the General Securities Representative (Series 7) Examination]]> http://cecouncil.com/media/266471/sr-finra-2018-008.pdf 2/12/2018 12:00:00 AM CE Council <![CDATA[SR-FINRA-2018-009 Proposed Rule Change to Revise the Direct Participation Programs Representative (Series 22) Examination]]> http://cecouncil.com/media/266475/sr-finra-2018-009.pdf 2/12/2018 12:00:00 AM CE Council <![CDATA[SR-FINRA-2018-010 Proposed Rule Change to Revise the Securities Trader (Series 57) Examination]]> http://cecouncil.com/media/266472/sr-finra-2018-010.pdf 2/12/2018 12:00:00 AM CE Council <![CDATA[SR-FINRA-2018-011 Proposed Rule Change to Revise the Private Securities Offerings Representative (Series 82) Examination]]> http://cecouncil.com/media/266473/sr-finra-2018-011.pdf 2/12/2018 12:00:00 AM CE Council <![CDATA[SR-FINRA-2018-004 Proposed Rule Change to Revise the Investment Banking Representative (Series 79) Examination]]> http://cecouncil.com/media/266469/sr-finra-2018-004.pdf 2/9/2018 12:00:00 AM CE Council <![CDATA[SR-FINRA-2018-005 Proposed Rule Change to Revise the Research Analyst (Series 86 and 87) Examinations]]> http://cecouncil.com/media/266468/sr-finra-2018-005.pdf 2/9/2018 12:00:00 AM CE Council <![CDATA[SR-FINRA-2018-006 Proposed Rule Change to Revise the Operations Professional (Series 99) Examination]]> http://cecouncil.com/media/266467/sr-finra-2018-006.pdf 2/9/2018 12:00:00 AM CE Council <![CDATA[SR-FINRA-2018-002 Proposed Rule Change Relating to the New Securities Industry Essentials (SIE) Examination]]> http://cecouncil.com/media/266466/sr-finra-2018-002.pdf 1/29/2018 12:00:00 AM CE Council