CE Council : Industry News http://cecouncil.com/ The latest Industry News from the Securities Industry Regulatory Council on Continuing Education en <![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 <![CDATA[FINRA Regulatory Notice 19-25 FINRA Requests Comment on a Proposal to Require Reporting of Transactions in U.S. Dollar-Denominated Foreign Sovereign Debt Securities to TRACE]]> http://cecouncil.com/media/266627/finra-regulatory-notice-19-25.pdf 7/26/2019 12:00:00 AM CE Council <![CDATA[SR-NASDAQ-2019-044 Order Approving a Proposed Rule Change to Allow an Odd Lot-Sized Order to Be Eligible for the Midpoint Extended Life Order]]> http://cecouncil.com/media/266626/sr-nasdaq-34-86416.pdf 7/19/2019 12:00:00 AM CE Council <![CDATA[FINRA Trade Reporting Notice 7/19/19 FINRA Reminds Firms of Their Obligations Regarding TRACE Reporting]]> http://cecouncil.com/media/266625/finra-trade-reporting-notice-071919.pdf 7/19/2019 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 19-24 FINRA Encourages Firms to Notify FINRA if They Engage in Activities Related to Digital Assets]]> http://cecouncil.com/media/266624/finra-regulatory-notice-19-24.pdf 7/18/2019 12:00:00 AM CE Council <![CDATA[Securities and Exchange Commission Release No. 34-86351 Order Granting Approval of a Proposed Rule Change to Amend NYSE Rule 123D]]> http://cecouncil.com/media/266621/sec-release-no-34-86351.pdf 7/11/2019 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 19-23 FINRA Supplements Prior Guidance on Credit for Extraordinary Cooperation]]> http://cecouncil.com/media/266622/finra-regulatory-notice-19-23.pdf 7/11/2019 12:00:00 AM CE Council