CE Council : Industry News http://www.cecouncil.com/ The latest Industry News from the Securities Industry Regulatory Council on Continuing Education en <![CDATA[FINRA Information Notice 4.19.22 FINRA Membership Application Program Transformation]]> http://www.cecouncil.com/media/266880/finra-information-notice-41922.pdf 4/19/2022 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 22-11 FINRA Reminds Firms of Their Sales Practice Obligations for Alternative Mutual Funds]]> http://www.cecouncil.com/media/266879/finra-regulatory-notice-22-11.pdf 4/19/2022 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 22-10 FINRA Reminds Member Firms of the Scope of FINRA Rule 3110 as it Pertains to the Potential Liability of Chief Compliance Officers for Failure to Discharge Designated Supervisory Responsibilities ]]> http://www.cecouncil.com/media/266876/finra-regulatory-notice-22-10.pdf 3/17/2022 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 22-09 Accelerated Processing of Arbitration Proceedings]]> http://www.cecouncil.com/media/266875/finra-regulatory-notice-22-09.pdf 3/16/2022 12:00:00 AM CE Council <![CDATA[CBOE Regulatory Circular 22-007 Option Customer Account Approval and Supervision]]> http://www.cecouncil.com/media/266878/cboe-regulatory-circular-22-007.pdf 3/15/2022 12:00:00 AM CE Council <![CDATA[CBOE Regulatory Circular 22-006 Upcoming Continuing Education Program Changes and Key Dates ]]> http://www.cecouncil.com/media/266877/cboe-regulatory-circular-22-006.pdf 3/14/2022 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 22-08 Complex Products and Options]]> http://www.cecouncil.com/media/266874/finra-regulatory-notice-22-08.pdf 3/8/2022 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 22-05 FINRA Adopts Amendments to FINRA Rule 2165]]> http://www.cecouncil.com/media/266873/finra-regulatory-notice-22-05.pdf 2/15/2022 12:00:00 AM CE Council <![CDATA[FINRA Information Notice - FINRA Announces Rule 4111 (Restricted Firm Obligations) Evaluation Date]]> http://www.cecouncil.com/media/266872/finra-informational-notice-2122.pdf 2/1/2022 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 22-04 FINRA Reminds Member Firms of Obligation to Execute Marketable Customer Orders Fully and Promptly]]> http://www.cecouncil.com/media/266870/finra-regulatory-notice-22-04.pdf 1/21/2022 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 22-03 Security-Based Swaps]]> http://www.cecouncil.com/media/266869/finra-regulatory-notice-22-03.pdf 1/20/2022 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-45 FINRA Announces Update of the Interpretations of Financial and Operational Rules]]> http://www.cecouncil.com/media/266867/finra-regulatory-notice-21-45.pdf 12/28/2021 12:00:00 AM CE Council <![CDATA[SEC Release No. 34-93784 Prohibition Against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers; Position Reporting of Large Security-Based Swap Positions]]> http://www.cecouncil.com/media/266866/sec-release-no-34-93784.pdf 12/20/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-43 Prohibition on Borrowing From or Lending to Customers]]> http://www.cecouncil.com/media/266863/finra-regulatory-notice-21-43.pdf 12/16/2021 12:00:00 AM CE Council <![CDATA[MSRB Information Notice 2021-18 Second Request for Comment on Fair Dealing Solicitor Municipal Advisor Obligations and New Draft Rule G-46]]> http://www.cecouncil.com/media/266865/msrb-informational-notice-21-18.pdf 12/15/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-42 FINRA Alerts Firms to “Log4Shell” Vulnerability in Apache Log4j Software]]> http://www.cecouncil.com/media/266862/finra-regulatory-notice-21-42.pdf 12/14/2021 12:00:00 AM CE Council <![CDATA[MSRB Information Notice 2021-17 Request for Information on Environmental, Social and Governance (ESG) Practices in the Municipal Securities Market]]> http://www.cecouncil.com/media/266864/msrb-informational-notice-21-17.pdf 12/8/2021 12:00:00 AM CE Council <![CDATA[SEC Release No. 34-93701 Holding Foreign Companies Accountable Act Disclosure]]> http://www.cecouncil.com/media/266861/sec-release-no-34-93701.pdf 12/2/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-41 FINRA Amends Rules 1210 and 1240 to Enhance the Continuing Education Program for Securities Industry Professionals]]> http://www.cecouncil.com/media/266858/finra-regulatory-notice-21-41.pdf 11/17/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-40 FINRA Requests Comment on Amendments to Rule 11880 Shortening the Settlement of Syndicate Account]]> http://www.cecouncil.com/media/266859/finra-regulatory-notice-21-40.pdf 11/11/2021 12:00:00 AM CE Council