CE Council : Industry News : Business conduct http://cecouncil.com/ The latest Industry News from the Securities Industry Regulatory Council on Continuing Education en <![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 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[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[Cboe Options Regulatory Circular RG18-028 Solicited Transactions]]> http://cecouncil.com/media/266527/cboe-rg18-028.pdf 8/24/2018 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2018-17 Compliance Advisory for Brokers, Dealers and Municipal Securities Dealers]]> http://cecouncil.com/media/266523/msrb-rn-2018-17.pdf 8/14/2018 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2018-18 Compliance Advisory for Municipal Advisors]]> http://cecouncil.com/media/266524/msrb-rn-2018-18.pdf 8/14/2018 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 18-25 FINRA Reminds Alternative Trading Systems of Their Obligations to Supervise Activity on Their Platforms]]> http://cecouncil.com/media/266520/finra-regulatory-notice-18-25.pdf 8/13/2018 12:00:00 AM CE Council <![CDATA[SR-NASDAQ-2018-067 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete and Replace the Current Rules on Arbitration]]> http://cecouncil.com/media/266521/sec-release-34-83834.pdf 8/13/2018 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 18-24 Update to Security Futures Risk Disclosure Statement and Supplement]]> http://cecouncil.com/media/266519/finra-regulatory-notice-18-24.pdf 8/10/2018 12:00:00 AM CE Council <![CDATA[FINRA Special Notice 7/30/18 FINRA Requests Comment on Financial Technology Innovation in the Broker-Dealer Industry]]> http://cecouncil.com/media/266518/finra-special-notice-073018.pdf 7/30/2018 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 18-22 FINRA Requests Comment on Proposed Amendments to Its Discovery Guide to Require Production of Insurance Information in Arbitration ]]> http://cecouncil.com/media/266516/finra-regulatory-notice-18-22.pdf 7/26/2018 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 18-21 SEC Approves Amendments to Arbitration Codes to Provide an Additional Hearing Option in Simplified Arbitration]]> http://cecouncil.com/media/266515/finra-regulatory-notice-18-21.pdf 7/23/2018 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Noticre 2018-15]]> http://cecouncil.com/media/266510/msrb-2018-15.pdf 7/19/2018 12:00:00 AM CE Council <![CDATA[Cboe Options Regulatory Circular RG18-025 Mandatory Participation in Disaster Recovery Testing]]> http://cecouncil.com/media/266513/cboe-rg18-025.pdf 7/19/2018 12:00:00 AM CE Council <![CDATA[SEC Release No. 34-83663 Regulation of NMS Stock Alternative Trading Systems]]> http://cecouncil.com/media/266511/sec-release-34-83663.pdf 7/18/2018 12:00:00 AM CE Council <![CDATA[CBOE Regulatory Circular RG18-023 Prearranged Trades]]> http://cecouncil.com/media/266509/cboe-rg18-023.pdf 7/11/2018 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 18-20 FINRA Encourages Firms to Notify FINRA if They Engage in Activities Related to Digital Assets]]> http://cecouncil.com/media/266507/finra-regulatory-notice-18-20.pdf 7/6/2018 12:00:00 AM CE Council <![CDATA[SEC Release 34-83506 Amendments to the Commission’s Freedom of Information Act Regulations]]> http://cecouncil.com/media/266503/sec-release-34-83506.pdf 6/25/2018 12:00:00 AM CE Council <![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