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. 33-10845 Adoption of Updated EDGAR Filer Manual]]> http://cecouncil.com/media/266752/sec-release-33-10845.pdf 9/18/2020 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 20-32 FINRA Reminds Firms to Be Aware of Fraudulent Options Trading in Connection With Potential Account Takeovers and New Account Fraud]]> http://cecouncil.com/media/266753/finra-regulatory-notice-20-32.pdf 9/17/2020 12:00:00 AM CE Council <![CDATA[SEC Release Nos. 33-10842 Publication or Submission of Quotations Without Specified Information]]> http://cecouncil.com/media/266751/sec-release-nos-33-10842.pdf 9/16/2020 12:00:00 AM CE Council <![CDATA[SEC Release Release No. 33-10835 Update of Statistical Disclosures for Bank and Savings and Loan Registrants]]> http://cecouncil.com/media/266748/sec-release-33-10835.pdf 9/11/2020 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 20-31 FINRA Reminds Firms of Their Supervisory Responsibilities Relating to CAT ]]> http://cecouncil.com/media/266747/finra-regulatory-notice-20-31.pdf 8/31/2020 12:00:00 AM CE Council <![CDATA[Securities and Exchange Release No. 33-10824 Amending the “Accredited Investor” Definition]]> http://cecouncil.com/media/266745/sec-release-33-10824.pdf 8/26/2020 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 20-30 Fraudsters Using Registered Representatives Names to Establish Imposter Websites]]> http://cecouncil.com/media/266746/finra-regulatory-notice-20-30.pdf 8/20/2020 12:00:00 AM CE Council <![CDATA[SR-NASDAQ-2020-050 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 6, Section 5 (Transfer of Positions)]]> http://cecouncil.com/media/266740/sr-nasdaq-2020-050.pdf 8/17/2020 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 20-29 FINRA Requests Comment on the Practice of Pennying in the Corporate Bond Market]]> http://cecouncil.com/media/266744/finra-regulatory-notice-20-29.pdf 8/17/2020 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 20-28 Update to Security Futures Risk Disclosure Statement and Supplement]]> http://cecouncil.com/media/266743/finra-regulatory-notice-20-28.pdf 8/14/2020 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 20-27 FINRA Alerts Firms to Use of Fake FINRA Domain Name]]> http://cecouncil.com/media/266742/finra-regulatory-notice-20-27.pdf 8/12/2020 12:00:00 AM CE Council <![CDATA[Cboe Regulatory Circular 20-047 Minor Rule Violation Plan Provisions for CAT Compliance Rules]]> http://cecouncil.com/media/266739/cboe-rc20-047.pdf 8/6/2020 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 20-26 FINRA Shares Practices Firms Implemented to Prepare for the LIBOR Phase-out]]> http://cecouncil.com/media/266741/finra-regulatory-notice-20-26.pdf 8/5/2020 12:00:00 AM CE Council <![CDATA[Securities and Exchange Release No. 34-89394 Covered Broker-Dealer Provisions under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act]]> http://cecouncil.com/media/266738/sec-release-34-89372.pdf 7/24/2020 12:00:00 AM CE Council <![CDATA[SEC Release No. 34-89372 Exemptions from the Proxy Rules for Proxy Voting Advice]]> http://cecouncil.com/media/266737/sec-release-34-89372.pdf 7/22/2020 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 20-25 FINRA Amends Arbitration Codes to Apply Minimum Fees to Requests for Expungement of Customer Dispute Information]]> http://cecouncil.com/media/266736/finra-regulatory-notice-20-25.pdf 7/20/2020 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 20-24 FINRA Requests Comment on Proposed Changes to TRACE Reporting Relating to Delayed Treasury Spot and Portfolio Trades]]> http://cecouncil.com/media/266735/finra-regulatory-notice-20-24.pdf 7/16/2020 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 20-23 FINRA Encourages Firms to Notify FINRA if They Engage in Activities Related to Digital Assets]]> http://cecouncil.com/media/266730/finra-regulatory-notice-20-23.pdf 7/9/2020 12:00:00 AM CE Council <![CDATA[Cboe Regulatory Circular 20-044 Options Market Maker Quote SendTime Requirements for CAT Reporting]]> http://cecouncil.com/media/266731/rc20-044-options-market-maker-quote-sendtime-requirements-for-cat-reporting.pdf 7/7/2020 12:00:00 AM CE Council <![CDATA[SR-NASDAQ-2020-034 The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rules 6130 and IM-6200-1]]> http://cecouncil.com/media/266734/sec-release-34-89225.pdf 7/6/2020 12:00:00 AM CE Council