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[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 <![CDATA[FINRA Regulatory Notice 18-20 FINRA Encourages Firms to Notify FINRA if They Engage in Activities Related to Digital Assets]]> http://cecouncil.com/media/266507/finra-regulatory-notice-18-20.pdf 7/6/2018 12:00:00 AM CE Council <![CDATA[CBOE Regulatory Circular RG18-02 Rule Filing Amending Definition of Strategy Orders and Incorporating Exclusion from Strategy Order Cut-Off Time for Bona Fide Market-Making Process for Submission of Written Policies and Procedures to Regulatory Division]]> http://cecouncil.com/media/266508/cboe-rg18-022.pdf 7/6/2018 12:00:00 AM CE Council <![CDATA[SEC Release IC-33142 Investment Company Liquidity Disclosure]]> http://cecouncil.com/media/266505/release-ic-33142.pdf 6/28/2018 12:00:00 AM CE Council <![CDATA[SEC Release 33-10514 Inline XBRL Filing of Tagged Data]]> http://cecouncil.com/media/266506/release-33-10514.pdf 6/28/2018 12:00:00 AM CE Council <![CDATA[MSRB Notice 2018-13 MSRB Revises Content Outlines for Professional Qualification Examinations ]]> http://cecouncil.com/media/266502/msrb-notice-2018-13ashx.pdf 6/25/2018 12:00:00 AM CE Council <![CDATA[SEC Release 34-83506 Amendments to the Commission’s Freedom of Information Act Regulations]]> http://cecouncil.com/media/266503/sec-release-34-83506.pdf 6/25/2018 12:00:00 AM CE Council <![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