CE Council : Industry News : Supervision http://cecouncil.com/ The latest Industry News from the Securities Industry Regulatory Council on Continuing Education en <![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 <![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, SIFMA AMG and ABA Submit Comments to FinCEN on the Amendment to the Bank Secrecy Act Regulations]]> http://cecouncil.com/media/249061/sifma-sifma-amg-and-aba-submit-comments-to-fincen-on-the-amendment-to-the-bank-secrecy-act-regulations.pdf 5/9/2016 12:00:00 AM CE Council <![CDATA[NASDAQ PHLX LLC SR-Phlx-2016-52 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Qualified Contingent Cross Pricing]]> http://cecouncil.com/media/249047/nasdaq-phlx-llc-sr-phlx-2016-52.pdf 4/22/2016 12:00:00 AM CE Council <![CDATA[NASDAQ OMX PHLX-SR-Phlx-2016-45 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Proposed Rule Change to Modify Chapter VII Section B of the Exchange’s Pricing Schedule]]> http://cecouncil.com/media/249043/nasdaq-omx-phlx-sr-phlx-2016-45.pdf 4/13/2016 12:00:00 AM CE Council <![CDATA[MSRB 2016-14 Municipal Fund Securities – Interpretation Relating to the Sales of Interests in ABLE Programs in the Primary Market]]> http://cecouncil.com/media/249044/msrb-2016-14.pdf 4/12/2016 12:00:00 AM CE Council <![CDATA[NASAA Issued a Request for Public Comments Regarding a Proposed New Multistate Form U-1 and a Revised Form U-2]]> http://cecouncil.com/media/249034/nasaa-multistate-form-u-1-and-revised-form-u-2-request-for-public-comment.pdf 4/1/2016 12:00:00 AM CE Council <![CDATA[NASAA Issued a Request for Public Comments Regarding Proposed Revisions to NASAA Corporation Finance Statements of Policy]]> http://cecouncil.com/media/249035/nasaa-notice-of-request-for-public-comments-regarding-proposed-revisions-to-nasaa-corporations-finance-statements-of-policy.pdf 4/1/2016 12:00:00 AM CE Council <![CDATA[NASDAQ OMX PHLX-SR-Phlx-2016-36 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Partnerships]]> http://cecouncil.com/media/249037/nasdaq-omx-phlx-sr-phlx-2016-36.pdf 3/30/2016 12:00:00 AM CE Council <![CDATA[SR-NYSEMKT-2016-41 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 964.2NY Regarding the Participation Entitlement Formula for Specialists and e-Specialists]]> http://cecouncil.com/media/249031/sr-nysemkt-2016-41.pdf 3/23/2016 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2016-08 MSRB Amends its Rule Regarding Calculations for Bonds that Do Not Pay Interest Semi-Annually]]> http://cecouncil.com/media/249026/msrb-regulatory-notice-2016-08.pdf 2/23/2016 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2016-07 Request for Comment on Draft Amendments to MSRB Rule G-30 to Provide Guidance on Prevailing Market Price]]> http://cecouncil.com/media/249024/msrb-regulatory-notice-2016-07.pdf 2/18/2016 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 15-28 SEC Approves Amendments Relating to Web-based Delivery of the Regulatory Element]]> http://cecouncil.com/media/245156/finra-regulatory-notice-15-28.pdf 8/3/2015 12:00:00 AM CE Council The SEC approved amendments to FINRA rules to provide a Web-based delivery method for completing the Regulatory Element of the Continuing Education (CE) requirements, and to establish the fee for it. The amendments become effective on October 1, 2015.

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<![CDATA[FINRA Regulatory Notice 14-42 SEC Approves Amendments to the Arbitration Codes]]> http://cecouncil.com/media/237445/14-42.html 11/3/2014 12:00:00 AM CE Council The Customer and Industry Codes (Codes) permit arbitrators to refer to FINRA for disciplinary investigation any matter that has come to the arbitrator’s attention during and in connection with the arbitration at the conclusion of the proceedings. The SEC approved amendments to the Codes to permit arbitrators to make a referral, during an arbitration, of any matter or conduct that has come to the arbitrator’s attention during a hearing, which the arbitrator has reason to believe poses a serious threat, whether ongoing or imminent, that is likely to harm investors unless immediate action is taken.

The amendments are effective on October 27, 2014, for any arbitration case which has scheduled hearings remaining.

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<![CDATA[FINRA Regulatory Element 14-44 BD and IA Renewals for 2015 ]]> http://cecouncil.com/media/237447/14-44.html 11/3/2014 12:00:00 AM CE Council The 2015 Renewal Program begins on November 10, 2014, when FINRA makes the online Preliminary Renewal Statements available to all firms on Web CRD/IARD.

Firms should consult the notice for key dates in the renewal process. 

Payment Deadline: December 12, 2014

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