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 21-15 Options Account Approval, Supervision and Margin]]> http://cecouncil.com/media/266816/finra-regulatory-notice-21-15.pdf 4/9/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-14 FINRA Alerts Firms to Recent Increase in ACH “Instant Funds” Abuse]]> http://cecouncil.com/media/266815/finra-regulatory-notice-21-14.pdf 3/25/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-13 Margin Interpretation Updates]]> http://cecouncil.com/media/266814/finra-regulatory-notice-21-13.pdf 3/24/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-12 Customer Order Handling, Margin and Liquidity]]> http://cecouncil.com/media/266812/finra-regulatory-notice-21-12.pdf 3/18/2021 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2021-07 Request for Comment on Fair Dealing Solicitor Municipal Advisor Obligations and New Draft Rule G-46]]> http://cecouncil.com/media/266813/msrb-regulatory-notice-21-07.pdf 3/17/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-11 FINRA Requests Comment on Proposed Amendments to the Margin Rule Regarding When Issued and Other Extended Settlement Transactions]]> http://cecouncil.com/media/266811/finra-regulatory-notice-21-11.pdf 3/15/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-10 FINRA Updates Private Placement Filer Form Pursuant to FINRA Rules 5122 and 5123]]> http://cecouncil.com/media/266809/finra-regulatory-notice-21-10.pdf 3/11/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-09 Protecting Investors from Misconduct]]> http://cecouncil.com/media/266810/finra-regulatory-notice-21-09.pdf 3/10/2021 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2021-06 Request for Comment on Application of Regulation Best Interest to Bank-Dealers]]> http://cecouncil.com/media/266807/msrb-regulatory-notice-21-06.pdf 3/4/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-08 FINRA Alerts Firms to Phishing Email Using “finra-online.com” Domain Name]]> http://cecouncil.com/media/266806/finra-regulatory-notice-21-08.pdf 3/4/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-05 SEC Grants FINRA Request for 30-Day Filing Extension for Smaller Broker-Dealers]]> http://cecouncil.com/media/266804/finra-regulatory-notice-21-05.pdf 2/18/2021 12:00:00 AM CE Council <![CDATA[MSRB Information Notice 2021-04 MSRB Extends Compliance Date for Amended Form G-32]]> http://cecouncil.com/media/266803/msrb-information-notice-2021-04.pdf 2/17/2021 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Reminder 2021-03 MSRB Reminds Dealers of the March 31, 2021 Compliance Date for the Revised Interpretive Notice of Underwriters’ Fair Dealing Obligations to Issuers]]> http://cecouncil.com/media/266802/msrb-regulatory-reminder-2021-03.pdf 2/16/2021 12:00:00 AM CE Council <![CDATA[MSRB Information Notice 2021-02 MSRB to Retire Select Interpretive Guidance for Dealers and Municipal Advisors]]> http://cecouncil.com/media/266801/msrb-information-notice-2021-02.pdf 2/11/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-03 FINRA Urges Firms to Review Their Policies and Procedures Relating to Red Flags of Potential Securities Fraud Involving Low-Priced Securities]]> http://cecouncil.com/media/266800/finra-regulatory-notice-21-03.pdf 2/10/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-02 FINRA Modifies TRACE Dissemination Protocols for Specified Pool Transactions]]> http://cecouncil.com/media/266799/finra-regulatory-notice-21-02.pdf 2/2/2021 12:00:00 AM CE Council <![CDATA[MSRB Information Notice 2021-01 Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing]]> http://cecouncil.com/media/266798/msrb-information-notice-2021-01.pdf 1/19/2021 12:00:00 AM CE Council <![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