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[MSRB Regulatory Notice 2017-25 MSRB to Amend Rule G-34, on CUSIP Numbers, New Issue, and Market Information Requirements]]> http://cecouncil.com/media/266463/msrb-regulatory-notice-2017-25.pdf 12/15/2017 12:00:00 AM CE Council <![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[SR-NASDAQ-2017-121 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4759 ]]> http://cecouncil.com/media/266461/sr-nasdaq-2017-121.pdf 12/5/2017 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[MSRB Regulatory Notice 2017-22 MSRB Seeks Input on Compliance Support]]> http://cecouncil.com/media/266455/msrb-regulatory-notice-2017-22ashx.pdf 11/16/2017 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 17-39 SEC Approves the CAT Fee Dispute Resolution Process]]> http://cecouncil.com/media/266457/regulatory-notice-17-39.pdf 11/15/2017 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 17-38 FINRA Requests Comment on a Proposal to Amend Rule 3110 (Supervision) to Provide Firms the Option to Conduct Remote Inspections of Offices and Locations That Meet Specified Criteria]]> http://cecouncil.com/media/266456/regulatory-notice-17-38.pdf 11/13/2017 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2017-21 MSRB to Streamline Series 52 Exam Ahead of Release of FINRA Securities Industry Essentials Exam]]> http://cecouncil.com/media/266454/msrb-2017-21.pdf 11/8/2017 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 17-36 SEC Approves Rule Amendment to Create a New TRACE Security Activity Report and End-of-Day TRACE Transaction File ]]> http://cecouncil.com/media/266452/regulatory-notice-17-36.pdf 11/3/2017 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 17-30 SEC Approves Consolidated FINRA Registration Rules, Restructured Representative-Level Qualification Examinations and Changes to Continuing Education Requirements]]> http://cecouncil.com/media/266448/finra-regulatory-notice-17-30.pdf 10/5/2017 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2017-20 MSRB Amends Professional Fee for Municipal Advisors]]> http://cecouncil.com/media/266444/sr-nasdaq-2017-101.pdf 9/29/2017 12:00:00 AM CE Council <![CDATA[SR-NASDAQ-2017-078 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter V, Section 6, Nullification and Adjustment of Options Transactions Including Obvious Errors]]> http://cecouncil.com/ 8/7/2017 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2017-13 MSRB Provides Guidance on Duties of Non-Solicitor Municipal Advisors in Conduit Financing Scenarios]]> http://cecouncil.com/media/266433/msrb-rn-2017-13.pdf 7/13/2017 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 17-24 FINRA Issues Guidance on the Enhanced Confirmation Disclosure Requirements in Rule 2232 for Corporate and Agency Debt Securities]]> http://cecouncil.com/media/266431/regulatory-notice-17-24.pdf 7/12/2017 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-2017-060 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7014(j)]]> http://cecouncil.com/media/266428/sr-nasdaq-2017-060.pdf 6/22/2017 12:00:00 AM CE Council <![CDATA[Trade Reporting Notice 6/12/17 Effective Date for Required Use of TRACE for Treasuries Modifiers]]> http://cecouncil.com/media/266426/trade-reporting-notice-061217.pdf 6/12/2017 12:00:00 AM CE Council <![CDATA[CBOE RG17-082 Market Maker Equity Reports]]> http://cecouncil.com/media/266424/cboe-rg17-082.pdf 6/9/2017 12:00:00 AM CE Council <![CDATA[CBOE RG17-083 Trade Reporting Duties]]> http://cecouncil.com/media/266425/cboe-rg17-083.pdf 6/9/2017 12:00:00 AM CE Council <![CDATA[SR-NYSENAT-34-80752 Order Approving Proposed Rule Changes to Amend the Certificate and Bylaws of Their Ultimate Parent Company, Intercontinental Exchange, Inc.]]> http://cecouncil.com/media/266422/sr-nysenat-2017-01-34-80752.pdf 5/24/2017 12:00:00 AM CE Council