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 2017-21 MSRB to Streamline Series 52 Exam Ahead of Release of FINRA Securities Industry Essentials Exam]]> http://cecouncil.com/media/266454/msrb-2017-21.pdf 11/8/2017 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 17-37 SEC Approves “Pay-to-Play” and Related Rules for Capital Acquisition Brokers (CABs) ]]> http://cecouncil.com/media/266453/finra-regulatory-notice-17-37.pdf 11/6/2017 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 17-36 SEC Approves Rule Amendment to Create a New TRACE Security Activity Report and End-of-Day TRACE Transaction File ]]> http://cecouncil.com/media/266452/regulatory-notice-17-36.pdf 11/3/2017 12:00:00 AM CE Council <![CDATA[SR-NASDAQ-2017-107 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Closing Cross Rules]]> http://cecouncil.com/media/266451/sr-nasdaq-2017-107.pdf 10/24/2017 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 17-32 FINRA Reminds Firms of Sales Practice Obligations for Volatility-Linked Exchange-Traded Products]]> http://cecouncil.com/media/266450/regulatory-notice-17-32.pdf 10/16/2017 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 17-30 SEC Approves Consolidated FINRA Registration Rules, Restructured Representative-Level Qualification Examinations and Changes to Continuing Education Requirements]]> http://cecouncil.com/media/266448/finra-regulatory-notice-17-30.pdf 10/5/2017 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 17-31 FINRA Amends Section 13 of Schedule A to the FINRA By-Laws to Establish Charges for New Option to File Websites and Web Pages in Native Format]]> http://cecouncil.com/media/266449/regulatory-notice-17-31.pdf 10/5/2017 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 17-29 Definition of Non-Public Arbitrator]]> http://cecouncil.com/media/266447/finra-regulatory-notice-7-29.pdf 10/4/2017 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 17-28 FINRA Makes Available Frequently Asked Questions and Guidance and Extends Effective Date of Margin Requirements for Covered Agency Transactions]]> http://cecouncil.com/media/266443/finra-reg-notice-17-28.pdf 9/29/2017 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2017-20 MSRB Amends Professional Fee for Municipal Advisors]]> http://cecouncil.com/media/266444/sr-nasdaq-2017-101.pdf 9/29/2017 12:00:00 AM CE Council <![CDATA[ SR-NASDAQ-2017-101 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date for Certain Changes to the Rule 5700 Series and Rule 5810]]> http://cecouncil.com/media/266446/sr-nasdaq-2017-101.pdf 9/29/2017 12:00:00 AM CE Council <![CDATA[Chicago Stock exchange Memorandum 17-08 Notice Regarding Order Types and Order Modifiers that Are Eligible for Entry into and Accepted by the CHX Matching System]]> http://cecouncil.com/ 9/28/2017 12:00:00 AM CE Council <![CDATA[Electronic Only Orders]]> http://cecouncil.com/media/266442/cboe-rg17-134.pdf 9/25/2017 12:00:00 AM CE Council <![CDATA[Guidance to Members Affected by Hurricane Harvey]]> http://cecouncil.com/media/266440/regulatory-notice-17-27.pdf 8/30/2017 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2017-16 SEC Approves Amendments to the MSRB’s Rule on Municipal Fund Security Product Advertisements]]> http://cecouncil.com/media/266438/msrb-rn-2017-16ashx.pdf 8/21/2017 12:00:00 AM CE Council <![CDATA[SR-NASDAQ-2017-084 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Address the Application of Rule 11140 in Connection with the Implementation of the Shortened Settlement Cycle (T+2) on September 5, 2017]]> http://cecouncil.com/media/266439/sr-nasdaq-2017-084.pdf 8/21/2017 12:00:00 AM CE Council <![CDATA[SR-NASDAQ-2017-078 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter V, Section 6, Nullification and Adjustment of Options Transactions Including Obvious Errors]]> http://cecouncil.com/ 8/7/2017 12:00:00 AM CE Council <![CDATA[CBOE Regulatory Circular 17-108 Marketable AIM Auction Responses]]> http://cecouncil.com/media/266436/cboe-rg17-108.pdf 8/1/2017 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2017-15 SEC Approves Amendments to MSRB Rule G-26 on Customer Account Transfers]]> http://cecouncil.com/media/266437/msrb-rg-2017-15.pdf 7/31/2017 12:00:00 AM CE Council <![CDATA[SR-NASDAQ-2017-073 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options Market Rules at Chapter IV, Section 6 ]]> http://cecouncil.com/media/266435/sr-nasdaq-2017-073.pdf 7/28/2017 12:00:00 AM CE Council