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. 34-86175 Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital and Segregation Requirements for Broker-Dealers]]> http://cecouncil.com/media/266614/sec-release-34-86175.pdf 6/21/2019 12:00:00 AM CE Council <![CDATA[SR-NYSE-2019-22 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 2, to Amend NYSE Rule 7.31 to Add a New Order Type, Capital Commitment Order, Modify the Market Order and the Last Sale Peg Modifier, and Make Related Changes to NYSE Rules 7.16, 7.18, 7.34, 7.36, and 7.37 ]]> http://cecouncil.com/media/266615/sr-nyse-2019-22-.pdf 6/20/2019 12:00:00 AM CE Council <![CDATA[Cboe RG19-022 Regulatory Division Contacts for Market Maker Quoting Issues and Late Withdrawals/Terminations]]> http://cecouncil.com/media/266611/cboe-rg19-022.pdf 6/18/2019 12:00:00 AM CE Council <![CDATA[SEC Release NO. 33-10648 Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships]]> http://cecouncil.com/media/266612/sec-release-33-10648.pdf 6/18/2019 12:00:00 AM CE Council <![CDATA[SEC Release No. 34-86073 Amendment to Single Issuer Exemption for Broker-Dealers]]> http://cecouncil.com/media/266609/sec-release-34-86073.pdf 6/10/2019 12:00:00 AM CE Council <![CDATA[Cboe RG19-021 Mandatory Participation in Disaster Recovery Testing]]> http://cecouncil.com/media/266610/cboe-rg19-021.pdf 6/10/2019 12:00:00 AM CE Council <![CDATA[SEC Release No. 34-86031 Regulation Best Interest: The Broker-Dealer Standard of Conduct ]]> http://cecouncil.com/media/266608/sec-34-86031.pdf 6/5/2019 12:00:00 AM CE Council <![CDATA[Cboe Options Regulatory Circular RG19-020 Discontinuation of Market Replay Access]]> http://cecouncil.com/media/266607/cboe-rg19-020.pdf 6/3/2019 12:00:00 AM CE Council <![CDATA[SEC File No. SR-NYSE-2019-28 Notice of Filing of Proposed Rule Change Amending Section 303A.08 of the Listed Company Manual Relating to Shareholder Approval of Equity Compensation Plans]]> http://cecouncil.com/media/266605/sec-release-no-34-85937.pdf 5/24/2019 12:00:00 AM CE Council <![CDATA[SEC File No. File No. File No. SR-NYSE-2019-26 Notice of Filing and Immediate Effectiveness of Proposed Rule Change of New Rule 7.44 to Operate Its Retail Liquidity Program on Pillar, the Exchange’s New Technology Trading Platform]]> http://cecouncil.com/media/266604/sec-release-no-34-85930.pdf 5/23/2019 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 19-19 FINRA Reminds Firms to Register for CAT Reporting by June 27, 2019]]> http://cecouncil.com/media/266603/finra-regulatory-notice-19-19.pdf 5/21/2019 12:00:00 AM CE Council <![CDATA[Cboe RG19-019 Elimination of On-Floor Position Transfer Procedures under Rule 6.49A Amendment to Presidential Exemption Related to Off-Floor Position Transfer Procedures]]> http://cecouncil.com/media/266601/cboe-rg19-019.pdf 5/20/2019 12:00:00 AM CE Council <![CDATA[MSRB Regulatory notice 2019-13 Request for Comment on MSRB Rule G-23 on Activities of Dealers Acting as Financial Advisors]]> http://cecouncil.com/media/266602/msrb-2019-13.pdf 5/20/2019 12:00:00 AM CE Council <![CDATA[FINRA Information Notice 5/10/19 Understanding Short Sale Volume Data on FINRA's Website]]> http://cecouncil.com/media/266600/finra-information-notice-051019.pdf 5/10/2019 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 19-18 FINRA Provides Guidance to Firms Regarding Suspicious Activity Monitoring and Reporting Obligations]]> http://cecouncil.com/media/266599/finra-regulatory-notice-19-18.pdf 5/6/2019 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 19-17 FINRA Requests Comment on Proposed New Rule 4111 (Restricted Firm Obligations) Imposing Additional Obligations on Firms with a Significant History of Misconduct ]]> http://cecouncil.com/media/266597/finra-regulatory-notice-19-17.pdf 5/2/2019 12:00:00 AM CE Council <![CDATA[Cboe Options Regulatory Circular 19-018 Consolidated Audit Trail Registration Deadline, Technical Specifications and Other Events]]> http://cecouncil.com/media/266596/cboe-rg19-018.pdf 5/1/2019 12:00:00 AM CE Council <![CDATA[FINRA Information Notice 4/29/19 Imposter Websites Impacting Member Firms]]> http://cecouncil.com/media/266598/finra-information-notice-042919.pdf 4/29/2019 12:00:00 AM CE Council <![CDATA[Cboe Options Regulatory Circular RG19-017 Amendments to the Exchanges’ Disciplinary Processes]]> http://cecouncil.com/media/266593/cboe-rg19-017.pdf 4/26/2019 12:00:00 AM CE Council <![CDATA[Securities and Exchange Commission Release No. 34-85723 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.11, Limit Up-Limit Down Plan and Trading Pauses in Individual Securities Due to Extraordinary Market Volatility]]> http://cecouncil.com/media/266594/sec-release-34-85723.pdf 4/25/2019 12:00:00 AM CE Council