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 2018-09 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 <![CDATA[MSRB Regulatory Notice 2016-06 Amendments to MSRB Rule G-37 on Political Contributions and Prohibitions on Municipal Securities Business and Related Amendments are Deemed Approved Under the Securities Exchange Act of 1934]]> http://cecouncil.com/media/249022/msrb-regulatory-notice-2016-06.pdf 2/17/2016 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 14-42 SEC Approves Amendments to the Arbitration Codes]]> http://cecouncil.com/media/237445/14-42.html 11/3/2014 12:00:00 AM CE Council The Customer and Industry Codes (Codes) permit arbitrators to refer to FINRA for disciplinary investigation any matter that has come to the arbitrator’s attention during and in connection with the arbitration at the conclusion of the proceedings. The SEC approved amendments to the Codes to permit arbitrators to make a referral, during an arbitration, of any matter or conduct that has come to the arbitrator’s attention during a hearing, which the arbitrator has reason to believe poses a serious threat, whether ongoing or imminent, that is likely to harm investors unless immediate action is taken.

The amendments are effective on October 27, 2014, for any arbitration case which has scheduled hearings remaining.

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<![CDATA[FINRA Regulatory Notice 14-43 SEC Approves Supplemental Inventory Schedule]]> http://cecouncil.com/media/237446/14-43.html 11/3/2014 12:00:00 AM CE Council The SEC has approved the adoption of the Supplemental Inventory Schedule (SIS), a supplemental schedule that must be filled by a firm that is required to file FOCUS Report Part II, FOCUS Report Part IIA or FOGS Report Part I, and has inventory positions as of the end of the FOCUS or FOGS reporting period, unless the firm has (1) a minimum dollar net capital or liquid capital requirement of less than $100,000 or (2) inventory positions consisting only of money market mutual funds. The initial SIS disclosing inventory positions as of December 31, 2014, must be filed with FINRA on or before January 30, 2015.  
 

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<![CDATA[FINRA Regulatory Notice 14-36 OTC Reporting Facility]]> http://cecouncil.com/media/236586/14-36.html 9/26/2014 12:00:00 AM CE Council Effective September 30, 2014, FINRA will no longer provide historical research reports for OTC Bulletin Board (OTCBB) securities, and FINRA Rule 7740, pursuant to which FINRA charges fees for such reports, is deleted as of that date. In addition, FINRA is announcing amendments to FINRA Rule 7710 relating to fees for OTC Reporting Facility (ORF) trade reporting and data, upon migration of the ORF to FINRA’s Multi-Product Platform (MPP) on November 17, 2014.

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<![CDATA[FINRA Regulatory Notice 14-10 Consolidated Supervision Rules]]> http://cecouncil.com/media/2759/a63882ca-d135-4052-a7d7-16e5e78f704e.pdf 4/2/2014 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 14-11 Branch Office Registration]]> http://cecouncil.com/media/2760/007c9998-057f-423a-b111-616cb3b46a50.pdf 4/2/2014 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 14-12 SEC Financial Responsibility Rules]]> http://cecouncil.com/media/2761/959d9a67-1615-4078-bec0-7d110a77c056.pdf 4/2/2014 12:00:00 AM CE Council