CE Council : Industry News : Customer accounts, trade and settlement practices http://cecouncil.com/ The latest Industry News from the Securities Industry Regulatory Council on Continuing Education en <![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 Noticre 2018-15]]> http://cecouncil.com/media/266510/msrb-2018-15.pdf 7/19/2018 12:00:00 AM CE Council <![CDATA[SR-NASDAQ-2018-046 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4702]]> http://cecouncil.com/media/266504/nasdaq-2018-046.pdf 6/20/2018 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[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[FINRA Regulatory Notice 18-11 FINRA Cautions Members Regarding Recommending and Entering Unpriced Customer Orders at and Around the Opening on the First Day of Trading of a Direct Listing]]> http://cecouncil.com/media/266482/regulatory-notice-18-11.pdf 3/28/2018 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 18-10 FINRA Requests Comment on the Effectiveness and Efficiency of Its Carrying Agreements Rule]]> http://cecouncil.com/media/266481/regulatory-notice-18-10.pdf 3/23/2018 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[FINRA Regulatory Notice 17-40 FINRA Provides Guidance to Firms Regarding AntiMoney Laundering Program Requirements Under FINRA Rule 3310 Following Adoption of FinCEN’s Final Rule to Enhance Customer Due Diligence Requirements for Financial Institutions ]]> http://cecouncil.com/media/266458/regulatory-notice-17-40.pdf 11/21/2017 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[Chicago Stock exchange Memorandum 17-08 Notice Regarding Order Types and Order Modifiers that Are Eligible for Entry into and Accepted by the CHX Matching System]]> http://cecouncil.com/ 9/28/2017 12:00:00 AM CE Council <![CDATA[Electronic Only Orders]]> http://cecouncil.com/media/266442/cboe-rg17-134.pdf 9/25/2017 12:00:00 AM CE Council <![CDATA[SR-NASDAQ-2017-084 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Address the Application of Rule 11140 in Connection with the Implementation of the Shortened Settlement Cycle (T+2) on September 5, 2017]]> http://cecouncil.com/media/266439/sr-nasdaq-2017-084.pdf 8/21/2017 12:00:00 AM CE Council <![CDATA[CBOE Regulatory Circular 17-108 Marketable AIM Auction Responses]]> http://cecouncil.com/media/266436/cboe-rg17-108.pdf 8/1/2017 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[SR-NASDAQ-2017-073 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options Market Rules at Chapter IV, Section 6 ]]> http://cecouncil.com/media/266435/sr-nasdaq-2017-073.pdf 7/28/2017 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2017-12 MSRB Provides Implementation Guidance on Confirmation Disclosure and Prevailing Market Price]]> http://cecouncil.com/media/266432/msrb-rn-2017-12.pdf 7/12/2017 12:00:00 AM CE Council