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 Notice 2018-11 MSRB Modifies Professional Qualifications Program]]> http://cecouncil.com/media/266500/msrb-notice-2018-11ashx.pdf 6/11/2018 12:00:00 AM CE Council <![CDATA[SEC Release 33-10506 Optional Internet Availability of Investment Company Shareholder Reports]]> http://cecouncil.com/media/266499/sec-release-33-10506.pdf 6/5/2018 12:00:00 AM CE Council <![CDATA[FINRA Information Notice Enhancements to FINRA’s Disclosure Review Process Relating to Public Financial Records]]> http://cecouncil.com/media/266496/information-notice-051818.pdf 5/18/2018 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 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[MSRB Regulatory Notice 2018-04 Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing]]> http://cecouncil.com/media/266479/msrb-notice-2018-04.pdf 3/13/2018 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[SR-FINRA-2018-007 Proposed Rule Change to Revise the Investment Company and Variable Contracts Products Representative (Series 6) Examination]]> http://cecouncil.com/media/266470/sr-finra-2018-007.pdf 2/12/2018 12:00:00 AM CE Council <![CDATA[SR-FINRA-2018-008 Proposed Rule Change to Revise the General Securities Representative (Series 7) Examination]]> http://cecouncil.com/media/266471/sr-finra-2018-008.pdf 2/12/2018 12:00:00 AM CE Council <![CDATA[SR-FINRA-2018-009 Proposed Rule Change to Revise the Direct Participation Programs Representative (Series 22) Examination]]> http://cecouncil.com/media/266475/sr-finra-2018-009.pdf 2/12/2018 12:00:00 AM CE Council <![CDATA[SR-FINRA-2018-010 Proposed Rule Change to Revise the Securities Trader (Series 57) Examination]]> http://cecouncil.com/media/266472/sr-finra-2018-010.pdf 2/12/2018 12:00:00 AM CE Council <![CDATA[SR-FINRA-2018-011 Proposed Rule Change to Revise the Private Securities Offerings Representative (Series 82) Examination]]> http://cecouncil.com/media/266473/sr-finra-2018-011.pdf 2/12/2018 12:00:00 AM CE Council <![CDATA[SR-FINRA-2018-004 Proposed Rule Change to Revise the Investment Banking Representative (Series 79) Examination]]> http://cecouncil.com/media/266469/sr-finra-2018-004.pdf 2/9/2018 12:00:00 AM CE Council <![CDATA[SR-FINRA-2018-005 Proposed Rule Change to Revise the Research Analyst (Series 86 and 87) Examinations]]> http://cecouncil.com/media/266468/sr-finra-2018-005.pdf 2/9/2018 12:00:00 AM CE Council <![CDATA[SR-FINRA-2018-006 Proposed Rule Change to Revise the Operations Professional (Series 99) Examination]]> http://cecouncil.com/media/266467/sr-finra-2018-006.pdf 2/9/2018 12:00:00 AM CE Council <![CDATA[SR-FINRA-2018-002 Proposed Rule Change Relating to the New Securities Industry Essentials (SIE) Examination]]> http://cecouncil.com/media/266466/sr-finra-2018-002.pdf 1/29/2018 12:00:00 AM CE Council <![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