CE Council : Industry News http://cecouncil.com/ The latest Industry News from the Securities Industry Regulatory Council on Continuing Education en <![CDATA[FINRA Information Notice 02/13/19 FINRA Warns of Fraudulent Phishing Emails Targeting Member Firms]]> http://cecouncil.com/media/266567/finra-information-notice-021319.pdf 2/13/2019 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 19-05 FINRA Extends Effective Date of Margin Requirements for Covered Agency Transactions ]]> http://cecouncil.com/media/266568/finra-regulatory-notice-19-05.pdf 2/12/2019 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2019-05 MSRB Amends Implementation Guidance on MSRB Rule G-18, on Best Execution]]> http://cecouncil.com/media/266566/msrb-2019-05.pdf 2/7/2019 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2019-04 MSRB Identifies Priority Rules for Retrospective Review in 2019]]> http://cecouncil.com/media/266565/msrb-2019-04.pdf 2/5/2019 12:00:00 AM CE Council <![CDATA[MSRB Information Notice 2019-03 MSRB Extends Effective Date for Amendments to MSRB Rule G-21 and New MSRB Rule G-40]]> http://cecouncil.com/media/266563/msrb-rn-2019-03.pdf 1/28/2019 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 19-04 FINRA’s 529 Plan Share Class Initiative Encourages Firms to Self-Report Potential Violations ]]> http://cecouncil.com/media/266564/finra-regulatory-noticev19-04.pdf 1/28/2019 12:00:00 AM CE Council <![CDATA[FINRA Information Notice 1/17/19 October 2018 Supplement to the Options Disclosure Document]]> http://cecouncil.com/media/266562/finra-information-notice-011719.pdf 1/17/2019 12:00:00 AM CE Council <![CDATA[Cboe Options Regulatory Circular 18-050 Prearranged Trades]]> http://cecouncil.com/media/266560/cboe-rg18-050.pdf 12/27/2018 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2018-33 MSRB Files Content Outline for the Municipal Advisor Principal Qualification Examination (Series 54)]]> http://cecouncil.com/media/266558/msrb-rn-2018-33.pdf 12/20/2018 12:00:00 AM CE Council <![CDATA[SEC Release No. 33-10593 Disclosure of Hedging by Employees, Officers and Directors]]> http://cecouncil.com/media/266559/sec-release-33-10593.pdf 12/20/2018 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2018-32 MSRB Provides Compliance Resource on Application of Content Standards to Advertisements by Municipal Advisors under MSRB Rule G-40]]> http://cecouncil.com/media/266557/msrb-rn-2018-32.pdf 12/19/2018 12:00:00 AM CE Council <![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