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 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 <![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