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 17-14 FINRA Requests Comment on FINRA Rules Impacting Capital Formation]]> http://cecouncil.com/media/266403/finra-regulatory-notice-17-14.pdf 4/12/2017 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 17-15 FINRA Requests Comment on Proposed Amendments to the FINRA Corporate Financing Rule]]> http://cecouncil.com/media/266404/finra-regulatory-notice-17-15.pdf 4/12/2017 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 17-16 FINRA Requests Comment on Proposed Limited Safe Harbor From FINRA Equity and Debt Research Rules for Desk Commentary]]> http://cecouncil.com/media/266405/finra-regulatory-notice-17-16.pdf 4/12/2017 12:00:00 AM CE Council <![CDATA[SR-NYSEMKT-2017-21 Proposal to adopt Rule 994NY, Broadcast Order Liquidity Delivery (“BOLD”) Mechanism. ]]> http://cecouncil.com/media/266406/sr-nysemkt-2017-21.pdf 4/11/2017 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 17-12 Regulation T and SEA Rule 15c3-3 Extension of Time Requests Under a T+2 Settlement Cycle]]> http://cecouncil.com/media/266402/finra-regulatory-notice-17-12.pdf 4/7/2017 12:00:00 AM CE Council <![CDATA[SEC Approves Rules Relating to Financial Exploitation of Seniors ]]> http://cecouncil.com/media/266401/finra-regulatory-notice-17-11.pdf 3/30/2017 12:00:00 AM CE Council <![CDATA[SR-NASDAQ-2017-029 Notice of Filing of Proposed Rule Change to List and Trade Exchange-Traded Managed Funds ]]> http://cecouncil.com/media/266400/nasdaq-rule-34-80315.pdf 3/27/2017 12:00:00 AM CE Council <![CDATA[SEC Adopts T+2 Settlement Cycle for Securities Transactions]]> http://cecouncil.com/media/266399/sec-rule-34-80295.pdf 3/22/2017 12:00:00 AM CE Council <![CDATA[FINRA Special Notice FINRA Requests Comment on Potential Enhancements to Certain Engagement Programs]]> http://cecouncil.com/media/266397/special-notice-032117.pdf 3/21/2017 12:00:00 AM CE Council <![CDATA[Notice of Filing of Proposed Rule Change to List and Trade Exchange-Traded Managed Funds ]]> http://cecouncil.com/media/266396/sr-nasdaq-2017-025.pdf 3/14/2017 12:00:00 AM CE Council <![CDATA[SR-FINRA-2017-007 Proposed Rule Change to Adopt Consolidated FINRA Registration Rules, Restructure the Representative-Level Qualification Examination Program and Amend the Continuing Education Requirements]]> http://cecouncil.com/media/266395/sr-finra-2017-007.pdf 3/8/2017 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2017-06 Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing]]> http://cecouncil.com/media/266394/msrb-notice-2017-06.pdf 3/7/2017 12:00:00 AM CE Council <![CDATA[Final SEC Rule to Exhibit Hyperlinks And HTML Format]]> http://cecouncil.com/media/266393/sec-notice-33-10322.pdf 3/1/2017 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 17-08 SEC Approves Amendments to Require Mark-Up/Mark-Down Disclosure on Confirmations for Trades With Retail Investors in Corporate and Agency Bonds]]> http://cecouncil.com/media/266391/finra-regulatory-notice-17-08.pdf 2/15/2017 12:00:00 AM CE Council <![CDATA[FINRA Requests Comment on Proposed Amendments to Rules Governing Communications with the Public]]> http://cecouncil.com/media/266389/finra-regulatory-notice-17-06.pdf 2/10/2017 12:00:00 AM CE Council <![CDATA[Approval of Proposed Rule Changes to Accept Orders Routed Inbound from the International Stock Exchange, LLC, ISE Gemini, LLC, and ISE Mercury, LLC, by Nasdaq Execution Services, LLC ]]> http://cecouncil.com/media/266390/sr-nasdaq-2016-169.pdf 2/9/2017 12:00:00 AM CE Council <![CDATA[CBOE RG17-019 Modified HOSS Opening Procedures and Special Opening Quotation and Settlement Methodology for Volatility Index Option Contracts]]> http://cecouncil.com/ 2/6/2017 12:00:00 AM CE Council <![CDATA[CBOE RG17-017 Operational System Settings for Constituent Options of Volatility Indexes on Expiration Dates for Volatility Index Derivatives]]> http://cecouncil.com/media/266387/cboe-rg17-017.pdf 2/3/2017 12:00:00 AM CE Council <![CDATA[NASDAQ OMX PHLX-SR-Phlx-2016-119 Order Granting Accelerated Approval of a Proposed Rule Change to Amend the PIXL Price Improvement Auction in Phlx Rule 1080(n) and to make Pilot Program Permanent]]> http://cecouncil.com/media/266383/nasdaq-omx-phlx-sr-phlx-2016-119.pdf 1/18/2017 12:00:00 AM CE Council <![CDATA[NYSEMKT Proposal to amend Rule 900.3NY and eliminatel Section 910-AEMI of the AEMI Rules, and Sections 910 and 910–AEMI of the NYSE MKT Company Guide.]]> http://cecouncil.com/media/266384/nysemkt-2017-03.pdf 1/18/2017 12:00:00 AM CE Council