CE Council : Industry News http://cecouncil.com/ The latest Industry News from the Securities Industry Regulatory Council on Continuing Education en <![CDATA[MSRB Notice 2018-12 MSRB Answers Frequently Asked Questions Regarding MSRB Rule G-42 and Making Recommendations ]]> http://cecouncil.com/media/266501/msrb-informaton-notice-2018-12ashx.pdf 6/20/2018 12:00:00 AM CE Council <![CDATA[MSRB Notice 2018-11 MSRB Modifies Professional Qualifications Program]]> http://cecouncil.com/media/266500/msrb-notice-2018-11ashx.pdf 6/11/2018 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2018-10 Request for Comment: Retrospective Review of 2012 Interpretive Notice Concerning the Application of MSRB Rule G-17 to Underwriters of Municipal Securities]]> http://cecouncil.com/media/266498/msrb-regulatory-notice-2018-10.pdf 6/5/2018 12:00:00 AM CE Council <![CDATA[SEC Release 33-10506 Optional Internet Availability of Investment Company Shareholder Reports]]> http://cecouncil.com/media/266499/sec-release-33-10506.pdf 6/5/2018 12:00:00 AM CE Council <![CDATA[FINRA Information Notice Enhancements to FINRA’s Disclosure Review Process Relating to Public Financial Records]]> http://cecouncil.com/media/266496/information-notice-051818.pdf 5/18/2018 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2018-09 Request for Comment on Draft MSRB Rule G-36, on Discretionary Transactions in Customer Accounts, and Related Draft Amendments]]> http://cecouncil.com/media/266495/2018-09ashx.pdf 5/16/2018 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2018-08 SEC Approves Advertising Rule Changes for Dealers and Municipal Advisors]]> http://cecouncil.com/media/266494/msrb-regulatory-notice-2018-08.pdf 5/7/2018 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 18-18 FINRA Extends Effective Date of Margin Requirements for Covered Agency Transactions]]> http://cecouncil.com/media/266492/finra-regulatory-notice-18-18.pdf 5/3/2018 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 18-19 FINRA Amends Rule 3310 to Conform to FinCEN’s Final Rule on Customer Due Diligence Requirements for Financial Institutions ]]> http://cecouncil.com/media/266493/finra-regulatory-notice-18-19.pdf 5/3/2018 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 18-17 FINRA Revises the Sanction Guidelines]]> http://cecouncil.com/media/266491/finra-regulatory-notice-18-17.pdf 5/2/2018 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 18-15 Guidance on Implementing Effective Heightened Supervisory Procedures for Associated Persons With a History of Past Misconduct]]> http://cecouncil.com/media/266489/finra-regulatory-notice-18-15_1.pdf 4/30/2018 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 18-16 FINRA Requests Comment on FINRA Rule Amendments Relating to High-Risk Brokers and the Firms That Employ Them]]> http://cecouncil.com/media/266490/finra-regulatory-notice-18-16.pdf 4/30/2018 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 18-14 FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on the Annual Compliance Meeting]]> http://cecouncil.com/media/266488/regulatory-notice-18-14.pdf 4/24/2018 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 18-13 FINRA Requests Comment on Proposed Amendments to the Quantitative Suitability Obligation Under FINRA Rule 2111]]> http://cecouncil.com/media/266487/regulatory-notice-18-13.pdf 4/20/2018 12:00:00 AM CE Council <![CDATA[SEC Release No. 34-83062 Proposed Rule Regulation Best Interest]]> http://cecouncil.com/media/266485/sec-release-34-83062.pdf 4/18/2018 12:00:00 AM CE Council <![CDATA[SEC Release 34-83063 Proposed Rule on Form CRS Relationship Summary; Amendments to Form ADV; Required Disclosures in Retail Communications and Restrictions on the use of Certain Names or Titles]]> http://cecouncil.com/media/266486/sec-release-34-83063.pdf 4/18/2018 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2018-07 Notice Regarding Transactions in the Municipal Securities of Distressed Municipalities]]> http://cecouncil.com/media/266484/msrb-regulatory-notice-2018-07.pdf 4/12/2018 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2018-06 MSRB Provides Investor Education Resources on New Mark-Up Disclosure Requirements]]> http://cecouncil.com/media/266483/msrb-regulatory-notice-2018-06.pdf 4/4/2018 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 18-11 FINRA Cautions Members Regarding Recommending and Entering Unpriced Customer Orders at and Around the Opening on the First Day of Trading of a Direct Listing]]> http://cecouncil.com/media/266482/regulatory-notice-18-11.pdf 3/28/2018 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 18-10 FINRA Requests Comment on the Effectiveness and Efficiency of Its Carrying Agreements Rule]]> http://cecouncil.com/media/266481/regulatory-notice-18-10.pdf 3/23/2018 12:00:00 AM CE Council