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 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 <![CDATA[FINRA Regulatory Notice 13-14]]> http://cecouncil.com/media/2739/77982c55-6b81-452f-a0f7-ae2befc95887.pdf 4/12/2013 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 13-12]]> http://cecouncil.com/media/2737/701a099e-80b3-4df2-a519-be78d0167f18.pdf 3/11/2013 12:00:00 AM CE Council <![CDATA[FINRA Information Notice 10/19/2012]]> http://cecouncil.com/media/2727/20965edc-cb5c-49d9-b568-57240cd5f8bf.pdf 10/19/2012 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 12-43 ]]> http://cecouncil.com/media/2726/d85249f6-7139-4196-8a24-e6a9686879ce.pdf 10/19/2012 12:00:00 AM CE Council <![CDATA[FINRA Information Notice 8-17-12]]> http://cecouncil.com/media/2720/8cf25683-7529-4329-a872-a4e10c7fd13b.pdf 8/22/2012 12:00:00 AM CE Council <![CDATA[FINRA Reulatory Notice 12-25 - Suitability]]> http://cecouncil.com/media/2702/0b59a1da-978b-4359-9501-ab7fa764a1bd.pdf 5/22/2012 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 12-20]]> http://cecouncil.com/media/2698/7c9b4ee7-7f46-4655-8fee-06fc0568b2ee.pdf 4/1/2012 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 12-16]]> http://cecouncil.com/media/2696/43aaf515-e381-4347-9f64-1b40179c4588.pdf 3/29/2012 12:00:00 AM CE Council