CE Council : Industry News : Registration and reporting issues http://cecouncil.com/ The latest Industry News from the Securities Industry Regulatory Council on Continuing Education en <![CDATA[FINRA Information Notice 10/02/18 Administrative Changes to the Continuing Education Regulatory Element Programs]]> http://cecouncil.com/media/266550/finra-information-notice-100218.pdf 10/2/2018 12:00:00 AM CE Council <![CDATA[Cboe Options Regulatory Circular 18-035 SEC Staff Issues Guidance on Third-Party Recordkeeping Services]]> http://cecouncil.com/media/266547/cboe-rg18-035.pdf 9/25/2018 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2018-27 MSRB Facilitates Requests for Interpretive Guidance]]> http://cecouncil.com/media/266548/msrb-2018-27.pdf 9/25/2018 12:00:00 AM CE Council <![CDATA[FINRA Information Notice 9/24/18 Presentation Changes and New Functionality in the Central Registration Depository (CRD®) System]]> http://cecouncil.com/media/266546/updated-information-notice-092418-1-.pdf 9/24/2018 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2018-26 MSRB Proposes a Municipal Advisor Principal Qualification Examination]]> http://cecouncil.com/media/266542/msrb-rn-2018-26.pdf 9/19/2018 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 18-31 SEC Staff Issues Guidance on Third-Party Recordkeeping Services]]> http://cecouncil.com/media/266539/finra-regulatory-notice-18-31.pdf 9/14/2018 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 18-26 FINRA Requests Comment on Enhancements Under Consideration by the Securities Industry/Regulatory Council on Continuing Education]]> http://cecouncil.com/media/266532/finra-rn-18-26.pdf 9/6/2018 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 18-27 Restructured Qualification Examinations and Related Examination Fees]]> http://cecouncil.com/media/266535/finra-rn-18-27.pdf 9/6/2018 12:00:00 AM CE Council <![CDATA[Cboe Options Regulatory Circular 18-030 Consolidated Audit Trail – Industry Member Technical Specifications]]> http://cecouncil.com/media/266534/cboe-rg18-030.pdf 9/5/2018 12:00:00 AM CE Council <![CDATA[SR-NYSENAT-2018-20 Proposed amendments to the Exchange's rules regarding qualification, registration and continuing education requirements applicable to Equity Trading Permit Holders]]> http://cecouncil.com/media/266526/nysenat-2018-20.pdf 8/15/2018 12:00:00 AM CE Council <![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[FINRA Regulatory Notice 18-24 Update to Security Futures Risk Disclosure Statement and Supplement]]> http://cecouncil.com/media/266519/finra-regulatory-notice-18-24.pdf 8/10/2018 12:00:00 AM CE Council <![CDATA[FINRA Special Notice 7/30/18 FINRA Requests Comment on Financial Technology Innovation in the Broker-Dealer Industry]]> http://cecouncil.com/media/266518/finra-special-notice-073018.pdf 7/30/2018 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 18-22 FINRA Requests Comment on Proposed Amendments to Its Discovery Guide to Require Production of Insurance Information in Arbitration ]]> http://cecouncil.com/media/266516/finra-regulatory-notice-18-22.pdf 7/26/2018 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 18-23 FINRA Requests Comment on a Proposal Regarding the Rules Governing the New and Continuing Membership Application Process]]> http://cecouncil.com/media/266517/finra-regulatory-notice-18-23.pdf 7/26/2018 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 18-21 SEC Approves Amendments to Arbitration Codes to Provide an Additional Hearing Option in Simplified Arbitration]]> http://cecouncil.com/media/266515/finra-regulatory-notice-18-21.pdf 7/23/2018 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[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