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 20-37 The National Adjudicatory Council (NAC) Revises the Sanction Guidelines]]> http://cecouncil.org/media/266766/finra-regulatory-notice-20-37.pdf 10/20/2020 12:00:00 AM CE Council <![CDATA[SEC Release No. 33-10876 Qualifications of Accountants]]> http://cecouncil.org/media/266763/sec-release-33-10876.pdf 10/16/2020 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 20-36 FINRA Requests Comment on a Concept Proposal Regarding the Application of FINRA Rules to Security-Based Swaps]]> http://cecouncil.org/media/266764/finra-regulatory-notice-20-36.pdf 10/15/2020 12:00:00 AM CE Council <![CDATA[FINRA Information Notice10-15-20 Cybersecurity Background: Authentication Methods]]> http://cecouncil.org/media/266765/finra-information-notice-101520.pdf 10/15/2020 12:00:00 AM CE Council <![CDATA[SR-NYSE-2020-83 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Rule 7]]> http://cecouncil.org/media/266760/sr-nyse-2020-83.pdf 10/9/2020 12:00:00 AM CE Council <![CDATA[SR-NYSE-2020-84 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to the Market-wide Circuit Breaker in Rule 7.12]]> http://cecouncil.org/media/266761/sr-nyse-2020-84.pdf 10/8/2020 12:00:00 AM CE Council <![CDATA[SEC Release Nos. 33-10871 Fund of Funds Arrangements ]]> http://cecouncil.org/media/266759/sec-release-33-10871.pdf 10/7/2020 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 20-35 Phishing Email Purporting to Be From FINRA ]]> http://cecouncil.org/media/266758/finra-regulatory-notice-20-35.pdf 10/6/2020 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 20-34 Proposed Amendments to FINRA Rule 2165 and Retrospective Rule Review Report]]> http://cecouncil.org/media/266757/finra-regulatory-notice-20-34.pdf 10/5/2020 12:00:00 AM CE Council <![CDATA[SEC Release No. 34-89964 Procedural Requirements and Resubmission Thresholds under Exchange Act Rule 14a-8]]> http://cecouncil.org/media/266755/sec-release-34-89964.pdf 9/23/2020 12:00:00 AM CE Council <![CDATA[SEC Release No. 34-89963 Whistleblower Program Rules]]> http://cecouncil.org/media/266756/sec-release-34-89963.pdf 9/23/2020 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 20-33 FINRA Requests Comment on a Proposed New Expedited Proceeding Rule for Failures to Comply With the FINRA Qualification Examinations Rules of Conduct and Proposed Amendments to the Registration Requirements Rule and the Eligibility Proceedings Rules]]> http://cecouncil.org/media/266754/finra-regulatory-notice-20-33.pdf 9/22/2020 12:00:00 AM CE Council <![CDATA[SEC Release No. 33-10845 Adoption of Updated EDGAR Filer Manual]]> http://cecouncil.org/media/266752/sec-release-33-10845.pdf 9/18/2020 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 20-32 FINRA Reminds Firms to Be Aware of Fraudulent Options Trading in Connection With Potential Account Takeovers and New Account Fraud]]> http://cecouncil.org/media/266753/finra-regulatory-notice-20-32.pdf 9/17/2020 12:00:00 AM CE Council <![CDATA[SEC Release Nos. 33-10842 Publication or Submission of Quotations Without Specified Information]]> http://cecouncil.org/media/266751/sec-release-nos-33-10842.pdf 9/16/2020 12:00:00 AM CE Council <![CDATA[SEC Release Release No. 33-10835 Update of Statistical Disclosures for Bank and Savings and Loan Registrants]]> http://cecouncil.org/media/266748/sec-release-33-10835.pdf 9/11/2020 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 20-31 FINRA Reminds Firms of Their Supervisory Responsibilities Relating to CAT ]]> http://cecouncil.org/media/266747/finra-regulatory-notice-20-31.pdf 8/31/2020 12:00:00 AM CE Council <![CDATA[Securities and Exchange Release No. 33-10824 Amending the “Accredited Investor” Definition]]> http://cecouncil.org/media/266745/sec-release-33-10824.pdf 8/26/2020 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 20-30 Fraudsters Using Registered Representatives Names to Establish Imposter Websites]]> http://cecouncil.org/media/266746/finra-regulatory-notice-20-30.pdf 8/20/2020 12:00:00 AM CE Council <![CDATA[SR-NASDAQ-2020-050 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 6, Section 5 (Transfer of Positions)]]> http://cecouncil.org/media/266740/sr-nasdaq-2020-050.pdf 8/17/2020 12:00:00 AM CE Council