CE Council : Industry News http://cecouncil.org/ The latest Industry News from the Securities Industry Regulatory Council on Continuing Education en <![CDATA[FINRA Regulatory Notice 21-27 SEC Financial Responsibility Rules]]> http://cecouncil.org/media/266833/finra-regulatory-notice-21-27.pdf 7/22/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-26 FINRA Amends Rules 5122 and 5123 Filing Requirements to Include Retail Communications That Promote or Recommend Private Placements]]> http://cecouncil.org/media/266831/finra-regulatory-notice-21-26.pdf 7/15/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-25 FINRA Continues to Encourage Firms to Notify FINRA if They Engage in Activities Related to Digital Assets]]> http://cecouncil.org/media/266832/finra-regulatory-notice-21-25.pdf 7/8/2021 12:00:00 AM CE Council <![CDATA[FINRA Special Notice 6.30.21 FINRA Requests Comment on Effective Methods to Educate Newer Investors]]> http://cecouncil.org/media/266830/finra-special-notice-063021.pdf 6/30/2021 12:00:00 AM CE Council <![CDATA[FINRA-2021-015 Proposed Rule Change to Amend FINRA Rules 1210 (Registration Requirements) and 1240 (Continuing Education Requirements) ]]> http://cecouncil.org/media/266829/sr-finra-2021-015.pdf 6/24/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-23 FINRA Reminds Member Firms of Requirements Concerning Best Execution and Payment for Order Flow]]> http://cecouncil.org/media/266828/finra-regulatory-notice-21-23.pdf 6/23/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-22 FINRA Alerts Firms to Phishing Email From “FINRA Support” From the Domain Name “westour.org” ]]> http://cecouncil.org/media/266827/finra-regulatory-notice-21-22.pdf 6/23/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-21 FINRA Eliminates the Order Audit Trail System (OATS) Rules ]]> http://cecouncil.org/media/266826/finra-regulatory-notice-21-21.pdf 6/17/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-20 FINRA Alerts Firms to Phishing Email Using “gateway-finra.org” Domain Name]]> http://cecouncil.org/media/266825/finra-regulatory-notice-21-20.pdf 6/7/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-19 FINRA Requests Comment on Short Interest Position Reporting Enhancements and Other Changes Related to Short Sale Reporting]]> http://cecouncil.org/media/266824/finra-regulatory-notice-21-19.pdf 6/4/2021 12:00:00 AM CE Council <![CDATA[Cboe Regulatory Circular 21-010 Registration Rule Changes Being Implemented July 1, 2021]]> http://cecouncil.org/media/266822/cboe-regulatory-circular-21-010.pdf 6/1/2021 12:00:00 AM CE Council <![CDATA[Cboe Regulatory Circular 21-011 Qualified Contingent Cross Reporting to the Regulatory Division (Change to Reporting Method Effective July 1, 2021)]]> http://cecouncil.org/media/266823/cboe-regulatory-circular-21-011.pdf 6/1/2021 12:00:00 AM CE Council <![CDATA[MSRB Request for Comment 2021-08 Request for Comment on Amendments to Rule G-10 Notification Requirements for Dealers]]> http://cecouncil.org/media/266819/msrb-request-for-comment-2021-08.pdf 5/14/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-18 FINRA Shares Practices Firms Use to Protect Customers From Online Account Takeover Attempts]]> http://cecouncil.org/media/266820/finra-regulatory-notice-21-18.pdf 5/12/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-17 FINRA Seeks Comment on Supporting Diversity and Inclusion in the Broker-Dealer Industry]]> http://cecouncil.org/media/266818/finra-regulatory-notice-21-17.pdf 4/29/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-16 Predispute Arbitration Agreements in Customer Agreements]]> http://cecouncil.org/media/266817/finra-regulatory-notice-21-16.pdf 4/21/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-15 Options Account Approval, Supervision and Margin]]> http://cecouncil.org/media/266816/finra-regulatory-notice-21-15.pdf 4/9/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-14 FINRA Alerts Firms to Recent Increase in ACH “Instant Funds” Abuse]]> http://cecouncil.org/media/266815/finra-regulatory-notice-21-14.pdf 3/25/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-13 Margin Interpretation Updates]]> http://cecouncil.org/media/266814/finra-regulatory-notice-21-13.pdf 3/24/2021 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 21-12 Customer Order Handling, Margin and Liquidity]]> http://cecouncil.org/media/266812/finra-regulatory-notice-21-12.pdf 3/18/2021 12:00:00 AM CE Council