CE Council : Industry News : Business conduct 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 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[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 18-17 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[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 2018-06 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[MSRB Regulatory Notice 2018-05 MSRB Provides New and Updated FAQs on Confirmation Disclosure and Prevailing Market Price]]> http://cecouncil.com/media/266480/msrb-regulatory-notice-2018-05.pdf 3/19/2018 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2018-04 Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing]]> http://cecouncil.com/media/266479/msrb-notice-2018-04.pdf 3/13/2018 12:00:00 AM CE Council <![CDATA[Cboe RG18-004 Anti-Money Laundering Compliance Program - Customer Due Diligence Requirements and Filing Requirements for Certain Trading Permit Holders]]> http://cecouncil.com/media/266476/cboe-rg18-004.pdf 2/14/2018 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 17-38 FINRA Requests Comment on a Proposal to Amend Rule 3110 (Supervision) to Provide Firms the Option to Conduct Remote Inspections of Offices and Locations That Meet Specified Criteria]]> http://cecouncil.com/media/266456/regulatory-notice-17-38.pdf 11/13/2017 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 17-37 SEC Approves “Pay-to-Play” and Related Rules for Capital Acquisition Brokers (CABs) ]]> http://cecouncil.com/media/266453/finra-regulatory-notice-17-37.pdf 11/6/2017 12:00:00 AM CE Council <![CDATA[SR-NASDAQ-2017-107 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Closing Cross Rules]]> http://cecouncil.com/media/266451/sr-nasdaq-2017-107.pdf 10/24/2017 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 17-28 FINRA Makes Available Frequently Asked Questions and Guidance and Extends Effective Date of Margin Requirements for Covered Agency Transactions]]> http://cecouncil.com/media/266443/finra-reg-notice-17-28.pdf 9/29/2017 12:00:00 AM CE Council <![CDATA[ SR-NASDAQ-2017-101 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date for Certain Changes to the Rule 5700 Series and Rule 5810]]> http://cecouncil.com/media/266446/sr-nasdaq-2017-101.pdf 9/29/2017 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2017-16 SEC Approves Amendments to the MSRB’s Rule on Municipal Fund Security Product Advertisements]]> http://cecouncil.com/media/266438/msrb-rn-2017-16ashx.pdf 8/21/2017 12:00:00 AM CE Council <![CDATA[SR-NASDAQ-2017-078 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter V, Section 6, Nullification and Adjustment of Options Transactions Including Obvious Errors]]> http://cecouncil.com/ 8/7/2017 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2017-15 SEC Approves Amendments to MSRB Rule G-26 on Customer Account Transfers]]> http://cecouncil.com/media/266437/msrb-rg-2017-15.pdf 7/31/2017 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2017-14 Market Advisory on Issuer’s Designation of Underwriter’s Counsel]]> http://cecouncil.com/media/266434/msrb-rn-2017-14.pdf 7/27/2017 12:00:00 AM CE Council