CE Council : Industry News : Suitability http://cecouncil.com/ The latest Industry News from the Securities Industry Regulatory Council on Continuing Education en <![CDATA[FINRA Regulatory Notice 19-04 FINRA’s 529 Plan Share Class Initiative Encourages Firms to Self-Report Potential Violations ]]> http://cecouncil.com/media/266564/finra-regulatory-noticev19-04.pdf 1/28/2019 12:00:00 AM CE Council <![CDATA[MSRB Notice 2018-12 MSRB Answers Frequently Asked Questions Regarding MSRB Rule G-42 and Making Recommendations ]]> http://cecouncil.com/media/266501/msrb-informaton-notice-2018-12ashx.pdf 6/20/2018 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2018-09 Request for Comment on Draft MSRB Rule G-36, on Discretionary Transactions in Customer Accounts, and Related Draft Amendments]]> http://cecouncil.com/media/266495/2018-09ashx.pdf 5/16/2018 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 18-13 FINRA Requests Comment on Proposed Amendments to the Quantitative Suitability Obligation Under FINRA Rule 2111]]> http://cecouncil.com/media/266487/regulatory-notice-18-13.pdf 4/20/2018 12:00:00 AM CE Council <![CDATA[SEC Release No. 34-83062 Proposed Rule Regulation Best Interest]]> http://cecouncil.com/media/266485/sec-release-34-83062.pdf 4/18/2018 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2018-07 Notice Regarding Transactions in the Municipal Securities of Distressed Municipalities]]> http://cecouncil.com/media/266484/msrb-regulatory-notice-2018-07.pdf 4/12/2018 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2018-06 MSRB Provides Investor Education Resources on New Mark-Up Disclosure Requirements]]> http://cecouncil.com/media/266483/msrb-regulatory-notice-2018-06.pdf 4/4/2018 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 18-11 FINRA Cautions Members Regarding Recommending and Entering Unpriced Customer Orders at and Around the Opening on the First Day of Trading of a Direct Listing]]> http://cecouncil.com/media/266482/regulatory-notice-18-11.pdf 3/28/2018 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 17-32 FINRA Reminds Firms of Sales Practice Obligations for Volatility-Linked Exchange-Traded Products]]> http://cecouncil.com/media/266450/regulatory-notice-17-32.pdf 10/16/2017 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 17-28 FINRA Makes Available Frequently Asked Questions and Guidance and Extends Effective Date of Margin Requirements for Covered Agency Transactions]]> http://cecouncil.com/media/266443/finra-reg-notice-17-28.pdf 9/29/2017 12:00:00 AM CE Council <![CDATA[ SR-NASDAQ-2017-101 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date for Certain Changes to the Rule 5700 Series and Rule 5810]]> http://cecouncil.com/media/266446/sr-nasdaq-2017-101.pdf 9/29/2017 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2017-08 Application of MSRB Rules to Solicitor Municipal Advisors]]> http://cecouncil.com/media/266411/msrb-notice-2017-08.pdf 5/4/2017 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[SIFMA Senior Investors White Paper]]> http://cecouncil.com/media/249053/sifma-senior-investors-white-paper.pdf 4/27/2016 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 14-11 Branch Office Registration]]> http://cecouncil.com/media/2760/007c9998-057f-423a-b111-616cb3b46a50.pdf 4/2/2014 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[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[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