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[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 <![CDATA[SR-NASDAQ-2016-161 Order Approving a Proposed Rule Change to Adopt a New Extended Life Priority Order Attribute under Rule 4703]]> http://cecouncil.com/media/266430/sr-nasdaq-2016-161.pdf 7/7/2017 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-Nasdaq-2017-040 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Continued Listing Standards for Exchange-Traded Products]]> http://cecouncil.com/media/266420/sr-nasdaq-2017-040.pdf 5/17/2017 12:00:00 AM CE Council <![CDATA[Shortening the Settlement Cycle for Securities to T+2]]> http://cecouncil.com/media/266415/regulatory-notice-17-19.pdf 5/11/2017 12:00:00 AM CE Council <![CDATA[SR-NASDAQ-2017-043 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4702 (Order Types)]]> http://cecouncil.com/media/266414/sec-release-no-34-80630.pdf 5/9/2017 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[NASDAQ SR-2017-120 Notice of Filing of Amendments No. 1, 2, 3, 4, and 5 and Order Granting Accelerated Approval of a Proposed Rule Change, as Amended, to Establish the Third Party Connectivity Service]]> http://cecouncil.com/media/266409/sr-nasdaq-2017-120.pdf 4/28/2017 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