CE Council : Industry News : Business conduct http://cecouncil.com/ The latest Industry News from the Securities Industry Regulatory Council on Continuing Education en <![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 <![CDATA[MSRB Regulatory Notice 2017-13 MSRB Provides Guidance on Duties of Non-Solicitor Municipal Advisors in Conduit Financing Scenarios]]> http://cecouncil.com/media/266433/msrb-rn-2017-13.pdf 7/13/2017 12:00:00 AM CE Council <![CDATA[CBOE RG17-085 Prearranged Trades]]> http://cecouncil.com/media/266429/cboe-regulatory-circular-rg17-085.pdf 6/23/2017 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 17-22 FINRA Adopts Rules on Disruptive Quoting and Trading Activity and Expedited Proceedings]]> http://cecouncil.com/media/266423/regulatory-notice-17-22.pdf 6/7/2017 12:00:00 AM CE Council <![CDATA[SR-NYSENAT-34-80752 Order Approving Proposed Rule Changes to Amend the Certificate and Bylaws of Their Ultimate Parent Company, Intercontinental Exchange, Inc.]]> http://cecouncil.com/media/266422/sr-nysenat-2017-01-34-80752.pdf 5/24/2017 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2017-08 Application of MSRB Rules to Solicitor Municipal Advisors]]> http://cecouncil.com/media/266411/msrb-notice-2017-08.pdf 5/4/2017 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 17-14 FINRA Requests Comment on FINRA Rules Impacting Capital Formation]]> http://cecouncil.com/media/266403/finra-regulatory-notice-17-14.pdf 4/12/2017 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 17-15 FINRA Requests Comment on Proposed Amendments to the FINRA Corporate Financing Rule]]> http://cecouncil.com/media/266404/finra-regulatory-notice-17-15.pdf 4/12/2017 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2017-06 Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing]]> http://cecouncil.com/media/266394/msrb-notice-2017-06.pdf 3/7/2017 12:00:00 AM CE Council <![CDATA[CBOE RG17-019 Modified HOSS Opening Procedures and Special Opening Quotation and Settlement Methodology for Volatility Index Option Contracts]]> http://cecouncil.com/ 2/6/2017 12:00:00 AM CE Council <![CDATA[CBOE RG17-017 Operational System Settings for Constituent Options of Volatility Indexes on Expiration Dates for Volatility Index Derivatives]]> http://cecouncil.com/media/266387/cboe-rg17-017.pdf 2/3/2017 12:00:00 AM CE Council <![CDATA[NYSEMKT-2017-01 Proposal to transition trading on Exchange to Pillar]]> http://cecouncil.com/media/266382/nysemkt-2017-01.pdf 1/9/2017 12:00:00 AM CE Council