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. 33-10580 Covered Investment Fund Research Reports]]> http://cecouncil.com/media/266554/sec-release-33-10580.pdf 11/30/2018 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2018-30 SEC Approves Amendments to MSRB Rule G-3 to Establish a Municipal Advisor Principal Qualification Examination]]> http://cecouncil.com/media/266555/msrb-2018-30.pdf 11/28/2018 12:00:00 AM CE Council <![CDATA[SR-FINRA-2018-036 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Test Results Information on the Content Outlines of FINRA Qualification Examinations]]> http://cecouncil.com/media/266552/sr-finra-2018-036.pdf 10/12/2018 12:00:00 AM CE Council <![CDATA[SR-NASDAQ-2018-078 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend, Reorganize and Enhance its Membership, Registration and Qualification Rules]]> http://cecouncil.com/media/266551/nasdaq-34-84386.pdf 10/9/2018 12:00:00 AM CE Council <![CDATA[FINRA Information Notice 10/02/18 Administrative Changes to the Continuing Education Regulatory Element Programs]]> http://cecouncil.com/media/266550/finra-information-notice-100218.pdf 10/2/2018 12:00:00 AM CE Council <![CDATA[Cboe Options Regulatory Circular 18-035 SEC Staff Issues Guidance on Third-Party Recordkeeping Services]]> http://cecouncil.com/media/266547/cboe-rg18-035.pdf 9/25/2018 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2018-27 MSRB Facilitates Requests for Interpretive Guidance]]> http://cecouncil.com/media/266548/msrb-2018-27.pdf 9/25/2018 12:00:00 AM CE Council <![CDATA[FINRA Information Notice 9/24/18 Presentation Changes and New Functionality in the Central Registration Depository (CRD®) System]]> http://cecouncil.com/media/266546/updated-information-notice-092418-1-.pdf 9/24/2018 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 18-32 FINRA Reminds Firms of Their Obligations Regarding Transactions in OTC Equity Securities Quoted Pursuant to a Submitted Form 211]]> http://cecouncil.com/media/266545/finra-regulatory-notice-18-32.pdf 9/24/2018 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2018-26 MSRB Proposes a Municipal Advisor Principal Qualification Examination]]> http://cecouncil.com/media/266542/msrb-rn-2018-26.pdf 9/19/2018 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2018-24 MSRB Answers FAQs Regarding Use of Municipal Advisory Client Lists and Case Studies under MSRB Rule G-40]]> http://cecouncil.com/media/266540/msrb-rn-2018-24.pdf 9/17/2018 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2018-25 Request for Comment on Application of Content Standards to Advertisements by Municipal Advisors under MSRB Rule G-40]]> http://cecouncil.com/media/266541/msrb-rn-2018-25.pdf 9/17/2018 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 18-31 SEC Staff Issues Guidance on Third-Party Recordkeeping Services]]> http://cecouncil.com/media/266539/finra-regulatory-notice-18-31.pdf 9/14/2018 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 18-29 FINRA Reminds Firms of Their Obligations When Effecting OTC Trades in Equity Securities on a Net Basis]]> http://cecouncil.com/media/266538/finra-regulatory-notice-18-29.pdf 9/12/2018 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 18-28 FINRA Requests Comment on a Proposal to Expand OTC Equity Trading Volume Data Published on FINRA’s Website]]> http://cecouncil.com/media/266537/finra-regulatory-notice-18-28.pdf 9/11/2018 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2018-22 Request for Comment on Draft Interpretive Guidance on Pennying and Draft Amendments to Existing Guidance on Best Execution]]> http://cecouncil.com/media/266536/msrb-2018-22.pdf 9/7/2018 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 18-26 FINRA Requests Comment on Enhancements Under Consideration by the Securities Industry/Regulatory Council on Continuing Education]]> http://cecouncil.com/media/266532/finra-rn-18-26.pdf 9/6/2018 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 18-27 Restructured Qualification Examinations and Related Examination Fees]]> http://cecouncil.com/media/266535/finra-rn-18-27.pdf 9/6/2018 12:00:00 AM CE Council <![CDATA[Cboe Options Regulatory Circular 18-030 Consolidated Audit Trail – Industry Member Technical Specifications]]> http://cecouncil.com/media/266534/cboe-rg18-030.pdf 9/5/2018 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2018-20 Request for Information on the Accessibility, Methodology and Utility of Indices, Yield Curves and Other Benchmarks]]> http://cecouncil.com/media/266528/msrb-2018-20.pdf 8/28/2018 12:00:00 AM CE Council