CE Council : Industry News : Handling customer accounts http://cecouncil.com/ The latest Industry News from the Securities Industry Regulatory Council on Continuing Education en <![CDATA[FINRA Regulatory Notice 17-43 Guidance on Reporting Short Interest Positions Held in Master/Sub-Accounts or Parent/Child Accounts]]> http://cecouncil.com/media/266462/regulatory-notice-17-43.pdf 12/6/2017 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[SEC Approves Rules Relating to Financial Exploitation of Seniors ]]> http://cecouncil.com/media/266401/finra-regulatory-notice-17-11.pdf 3/30/2017 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 16-42: Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2017]]> http://cecouncil.com/media/249106/finra-regulatory-notice-16-42.pdf 11/1/2016 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 16-32 FINRA Announces New Web-based System for the Collection of Short Interest Positions]]> http://cecouncil.com/media/249085/finra-regulatory-notice-16-32-finra-announces-new-web-based-system-for-the-collection-of-short-interest-positions.pdf 8/19/2016 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 16-27 FINRA Announces Changes Relating to Composition, Terms of Members and Election Procedures for the National Adjudicatory Council]]> http://cecouncil.com/media/249077/finra-regulatory-notice-16-27.pdf 8/4/2016 12:00:00 AM CE Council <![CDATA[SR-NYSEMKT-2016-66 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 975NY Regarding Transactions that Qualify as a Catastrophic Error as it Relates to Binary Return Derivatives Contracts]]> http://cecouncil.com/media/249074/sr-nysemkt-2016-66.pdf 7/8/2016 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[SR-NYSEMKT-2016-37 Notice of Filing and Immediate Effectiveness of Proposed Change Adopting a Decommission Extension Fee for receipt of the NYSE MKT BBO and NYSE MKT Trades Market Data Products]]> http://cecouncil.com/media/249030/sr-nysemkt-2016-37.pdf 3/17/2016 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 15-28 SEC Approves Amendments Relating to Web-based Delivery of the Regulatory Element]]> http://cecouncil.com/media/245156/finra-regulatory-notice-15-28.pdf 8/3/2015 12:00:00 AM CE Council The SEC approved amendments to FINRA rules to provide a Web-based delivery method for completing the Regulatory Element of the Continuing Education (CE) requirements, and to establish the fee for it. The amendments become effective on October 1, 2015.

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<![CDATA[FINRA Regulatory Notice 14-35 Customer Account Statements]]> http://cecouncil.com/media/236587/14-35.html 9/26/2014 12:00:00 AM CE Council FINRA seeks comment on a revised proposal to transfer, largely unchanged, current NASD Rule 2340 (Customer Account Statements) and Incorporated NYSE Rule 409 (Statements of Accounts of Customers) 1 into the consolidated FINRA rulebook as FINRA Rule 2231 (Customer Account Statements). The revised proposal includes changes made in response to comments on the prior proposal that was subsequently withdrawn. The key changes in the revised proposal from the prior proposal are to (1) maintain the quarterly delivery requirement in the current rule; and (2) allow customers to direct the
transmission of customer account statements and other documents to third parties, provided the firm sends duplicates of such account statements and other documents directly to the customer.
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<![CDATA[CBOE Regulatory Circular RG 14-043]]> http://cecouncil.com/media/2763/83a72c8c-5307-4884-b0da-e48c3cbd00a2.pdf 4/2/2014 12:00:00 AM CE Council In the third quarter of 2014, CBOE intends to introduce Extended Trading Hours (ETH) for options on the S&P 500 Index complex (SPX, SPXW, SPXQ, SPXPM) and on the CBOE Volatility Index (VIX), contingent upon completion of systems enhancements and Securities and Exchange Commission (SEC) approval of requisite rules. The circular includes Frequently Asked Questions (FAQs) received to date. The answers provided may be subject to SEC approval. The Exchange will issue circulars with additional information regarding ETH, or any updates to the information provided, as it deems necessary.

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<![CDATA[FINRA Regulatory Notice 13-43]]> http://cecouncil.com/media/2754/3b814c51-631b-453e-aeef-8ae03d24cea1.pdf 12/23/2013 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 13-33 ]]> http://cecouncil.com/media/2749/2552c25a-3e20-4aeb-9057-ef9c1d9c3b82.pdf 10/18/2013 12:00:00 AM CE Council <![CDATA[Information Notice Regarding New S901 Regulatory Element Continuing Education]]> http://cecouncil.com/media/2750/74f358e5-5b65-4044-90e0-742836c2008b.pdf 9/20/2013 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 13-25 - Business Continuity Planning]]> http://cecouncil.com/media/2747/c76744c6-1efd-44c4-9dca-443f86581835.pdf 8/30/2013 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 13-26 - Private Placements of Securities]]> http://cecouncil.com/media/2746/61baebdf-6f03-451c-9094-f8ae44020faf.pdf 8/30/2013 12:00:00 AM CE Council <![CDATA[MSRB Notice 2013-18 MSRB Market Transparency Advisory]]> http://cecouncil.com/media/2741/fbaa491d-a5d4-4cd5-8e43-dac0bd147d1c.pdf 8/14/2013 12:00:00 AM CE Council <![CDATA[NYSE Regulation Information Memo 13-14]]> http://cecouncil.com/media/2742/28f85fff-b97c-4aa8-b847-77f4eb86d2a8.pdf 8/14/2013 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 13-15]]> http://cecouncil.com/media/2740/724b0b81-37c5-4be5-bfa0-47b9194d428d.pdf 4/17/2013 12:00:00 AM CE Council