CE Council : Industry News : Ethics 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[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[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[FINRA Information Notice - FINRA Warns Firms of Regulator Impersonators]]> http://cecouncil.com/media/266514/finra-information-notice-071318.pdf 7/13/2018 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[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[FINRA Regulatory Notice 18-14 FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on the Annual Compliance Meeting]]> http://cecouncil.com/media/266488/regulatory-notice-18-14.pdf 4/24/2018 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[SEC Release 34-83063 Proposed Rule on Form CRS Relationship Summary; Amendments to Form ADV; Required Disclosures in Retail Communications and Restrictions on the use of Certain Names or Titles]]> http://cecouncil.com/media/266486/sec-release-34-83063.pdf 4/18/2018 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 18-08 FINRA Requests Comment on Proposed New Rule Governing Outside Business Activities and Private Securities Transactions ]]> http://cecouncil.com/media/266478/regulatory-notice-18-08.pdf 2/26/2018 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 17-29 Definition of Non-Public Arbitrator]]> http://cecouncil.com/media/266447/finra-regulatory-notice-7-29.pdf 10/4/2017 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[FINRA Regulatory Notice 17-20 FINRA Requests Comment on the Effectiveness and Efficiency of Its Rules on Outside Business Activities and Private Securities Transactions ]]> http://cecouncil.com/media/266416/finra-regulatory-notice-17-20.pdf 5/15/2017 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[ MSRB Regulatory Notice 2016-27 Interpretive Notice Regarding Rule G-47, on Time of Trade Disclosure]]> http://cecouncil.com/media/249111/msrb-regulatory-notice-2016-27.pdf 11/22/2016 12:00:00 AM CE Council <![CDATA[SR-NYSEMKT-2016-98 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .05 to Rule 980NY]]> http://cecouncil.com/media/249105/sr-nysemkt-2016-98.pdf 11/1/2016 12:00:00 AM CE Council <![CDATA[FINRA Information Notice: Elimination of Continuing Education Delivery at Testing Centers]]> http://cecouncil.com/media/249063/finra-information-notice-5-16-16-elimination-of-continuing-education-delivery-at-testing-centers.pdf 5/16/2016 12:00:00 AM CE Council <![CDATA[NASDAQ OMX PHLX-SR-Phlx-2016-39 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Rule 3317 to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program]]> http://cecouncil.com/media/249036/nasdaq-omx-phlx-sr-phlx-2016-39.pdf 3/28/2016 12:00:00 AM CE Council