CE Council : Industry News : Supervision http://cecouncil.com/ The latest Industry News from the Securities Industry Regulatory Council on Continuing Education en <![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 18-25 FINRA Reminds Alternative Trading Systems of Their Obligations to Supervise Activity on Their Platforms]]> http://cecouncil.com/media/266520/finra-regulatory-notice-18-25.pdf 8/13/2018 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 Information Notice - FINRA Warns Firms of Regulator Impersonators]]> http://cecouncil.com/media/266514/finra-information-notice-071318.pdf 7/13/2018 12:00:00 AM CE Council <![CDATA[CBOE Regulatory Circular RG18-023 Prearranged Trades]]> http://cecouncil.com/media/266509/cboe-rg18-023.pdf 7/11/2018 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[FINRA Regulatory Notice 18-17 FINRA Revises the Sanction Guidelines]]> http://cecouncil.com/media/266491/finra-regulatory-notice-18-17.pdf 5/2/2018 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 18-15 Guidance on Implementing Effective Heightened Supervisory Procedures for Associated Persons With a History of Past Misconduct]]> http://cecouncil.com/media/266489/finra-regulatory-notice-18-15_1.pdf 4/30/2018 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 18-16 FINRA Requests Comment on FINRA Rule Amendments Relating to High-Risk Brokers and the Firms That Employ Them]]> http://cecouncil.com/media/266490/finra-regulatory-notice-18-16.pdf 4/30/2018 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[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[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 17-20 FINRA Requests Comment on the Effectiveness and Efficiency of Its Rules on Outside Business Activities and Private Securities Transactions ]]> http://cecouncil.com/media/266416/finra-regulatory-notice-17-20.pdf 5/15/2017 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 17-02 Motions to Dismiss in Arbitration]]> http://cecouncil.com/media/266379/finra-regulatory-notice-17-02.pdf 1/3/2017 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 17-03 SEC Approves Amendments to the Customer and Industry Codes of Arbitration Procedure Regarding Required Use of the Dispute Resolution Party Portal]]> http://cecouncil.com/media/266380/finra-regulatory-notice-17-03.pdf 1/3/2017 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 16-34 FINRA Requests Comment on a Proposal Relating to Its Inter-Dealer Quotation System for OTC Equity Securities]]> http://cecouncil.com/media/249088/finra-regulatory-notice-16-34.pdf 8/31/2016 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2016-17 MSRB Revises Content Outline for the Municipal Advisor Representative Qualification Examination]]> http://cecouncil.com/media/249072/msrb-regulatory-notice-2016-17.pdf 6/15/2016 12:00:00 AM CE Council <![CDATA[NASDAQ OMX PHLX-SR-Phlx-2016-63 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to a Proposal to Relocate and Update the Existing Provisions of Rule 1080.07 to New Rule 1098]]> http://cecouncil.com/media/249067/nasdaq-omx-phlx-sr-phlx-2016-63.pdf 6/7/2016 12:00:00 AM CE Council