CE Council : Industry News http://cecouncil.org/ The latest Industry News from the Securities Industry Regulatory Council on Continuing Education en <![CDATA[Securities and Exchange Release No. 34-89394 Covered Broker-Dealer Provisions under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act]]> http://cecouncil.org/media/266738/sec-release-34-89372.pdf 7/24/2020 12:00:00 AM CE Council <![CDATA[SEC Release No. 34-89372 Exemptions from the Proxy Rules for Proxy Voting Advice]]> http://cecouncil.org/media/266737/sec-release-34-89372.pdf 7/22/2020 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 20-25 FINRA Amends Arbitration Codes to Apply Minimum Fees to Requests for Expungement of Customer Dispute Information]]> http://cecouncil.org/media/266736/finra-regulatory-notice-20-25.pdf 7/20/2020 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 20-24 FINRA Requests Comment on Proposed Changes to TRACE Reporting Relating to Delayed Treasury Spot and Portfolio Trades]]> http://cecouncil.org/media/266735/finra-regulatory-notice-20-24.pdf 7/16/2020 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 20-23 FINRA Encourages Firms to Notify FINRA if They Engage in Activities Related to Digital Assets]]> http://cecouncil.org/media/266730/finra-regulatory-notice-20-23.pdf 7/9/2020 12:00:00 AM CE Council <![CDATA[Cboe Regulatory Circular 20-044 Options Market Maker Quote SendTime Requirements for CAT Reporting]]> http://cecouncil.org/media/266731/rc20-044-options-market-maker-quote-sendtime-requirements-for-cat-reporting.pdf 7/7/2020 12:00:00 AM CE Council <![CDATA[SR-NASDAQ-2020-034 The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rules 6130 and IM-6200-1]]> http://cecouncil.org/media/266734/sec-release-34-89225.pdf 7/6/2020 12:00:00 AM CE Council <![CDATA[SEC Release No. IC-33921 Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940]]> http://cecouncil.org/media/266733/release-no-ic-33921.pdf 7/6/2020 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 20-22 FINRA Announces Updates to the Interpretations of FINRA’s Margin Rule Regarding Control and Restricted Securities and Consolidation of Accounts]]> http://cecouncil.org/media/266727/finra-regulatory-notice-20-22.pdf 7/2/2020 12:00:00 AM CE Council <![CDATA[NASAA Notice of Request for Public Comment Regarding a Proposed Model Rule for Investment Advisor Written Policies and Procedures Under the Uniform Securities Acts of 1956 and 2002]]> http://cecouncil.org/media/266732/nasaa-model-rule-070220.pdf 7/2/2020 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 20-21 FINRA Provides Guidance on Retail Communications Concerning Private Placement Offerings]]> http://cecouncil.org/media/266728/finra-regulatory-notice-20-21.pdf 7/1/2020 12:00:00 AM CE Council <![CDATA[NASAA Request for Comments on Proposed Model Act to Create a Restitution Assistance Fund for Victims of Securities Violations]]> http://cecouncil.org/media/266725/nasaa-model-restitution-assistance-legislation-request-for-public-comment.pdf 6/30/2020 12:00:00 AM CE Council <![CDATA[SR-NYSE-2020-55 Notice of Filing of Proposed Rule Change to Amend Rules 7.36 and 7.37 ]]> http://cecouncil.org/media/266726/nyse-34-89205.pdf 6/30/2020 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 20-20 FINRA Provides Updates on Regulatory Coordination Concerning CAT Reporting Compliance]]> http://cecouncil.org/media/266729/finra-regulatory-notice-20-20.pdf 6/29/2020 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2020-13 MSRB Harmonizes Rules with Requirements of Regulation Best Interest]]> http://cecouncil.org/media/266724/msrb-2020-13.pdf 6/26/2020 12:00:00 AM CE Council <![CDATA[FINRA Information Notice 6/25/20 FINRA Gateway–Changes to Form U4 User Interface and Access to Continuing Education]]> http://cecouncil.org/media/266720/finra-information-notice-062520.pdf 6/25/2020 12:00:00 AM CE Council <![CDATA[Securities and Exchange Release no. BHCA-9 Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds]]> http://cecouncil.org/media/266723/sec-17cfr-part-255.pdf 6/25/2020 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2020-12 MSRB Enhances Transparency of Timing of Issuers’ Annual Disclosures on the EMMA Website]]> http://cecouncil.org/media/266722/msrb-rn-2020-12.pdf 6/24/2020 12:00:00 AM CE Council <![CDATA[Cboe Regulatory Circular 20-041 Open Outcry Order Entry and Reporting Procedures During an Exchange System Outage]]> http://cecouncil.org/media/266721/cboe-rc20-041.pdf 6/23/2020 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 20-18 FINRA Amends Its Suitability, Non-Cash Compensation and Capital Acquisition Broker (CAB) Rules in Response to Regulation Best Interest ]]> http://cecouncil.org/media/266718/finra-regulatory-notice-20-18.pdf 6/19/2020 12:00:00 AM CE Council