CE Council : Industry News http://www.cecouncil.org/ The latest Industry News from the Securities Industry Regulatory Council on Continuing Education en <![CDATA[Securities and Exchange Release No. 33-10786 Amendments to Financial Disclosures about Acquired and Disposed Businesses]]> http://www.cecouncil.org/media/266706/sec-release-33-10786.pdf 5/20/2020 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 20-14 Sales Practice Obligations With Respect to Oil-Linked Exchange-Traded Products]]> http://www.cecouncil.org/media/266707/finra-regulatory-notice-20-14.pdf 5/15/2020 12:00:00 AM CE Council <![CDATA[Securities and Exchange Release No. 34-88890 Amendments to the National Market System Plan Governing the Consolidated Audit Trail]]> http://www.cecouncil.org/media/266705/sec-release-34-88890.pdf 5/15/2020 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 20-13 FINRA Reminds Firms to Beware of Fraud During the Coronavirus (COVID-19) Pandemic]]> http://www.cecouncil.org/media/266704/finra-regulatory-notice-20-13.pdf 5/5/2020 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 20-12 FINRA Warns of Fraudulent Phishing Emails Purporting to Be From FINRA]]> http://www.cecouncil.org/media/266703/finra-regulatory-notice-20-12.pdf 5/4/2020 12:00:00 AM CE Council <![CDATA[SR-NYSE-2020-17 Order Approving a Proposed Rule Change to Amend its Rules to Add New Rule 7.19]]> http://www.cecouncil.org/media/266700/sr-nyse-2020-17.pdf 4/29/2020 12:00:00 AM CE Council <![CDATA[SR-NYSE-2020-03 New Exchange Rule 46B to Permit the Appointment of Regulatory Trading Officials and Amend Exchange Rule 47 to Permit Regulatory Trading Officials to Review Whether a Bid or Offer is Eligible for Inclusion in the Closing Auction]]> http://www.cecouncil.org/media/266699/sr-nyse-2020-03.pdf 4/29/2020 12:00:00 AM CE Council <![CDATA[SR-NASDAQ-2020-011 Order Approving Proposed Rule Change to Amend Rules 4702(b)(14) and (b)(15) to Shorten the Holding Period Requirements for Midpoint Extended Life Orders and Midpoint Extended Life Orders Plus Continuous Book]]> http://www.cecouncil.org/media/266702/sr-nasdaq-2020-011.pdf 4/24/2020 12:00:00 AM CE Council <![CDATA[Cboe Regulatory Circular 20-033 SEC Exemptive Order Related to CAT Implementation Deadlines]]> http://www.cecouncil.org/media/266698/cboe-rc20-033.pdf 4/23/2020 12:00:00 AM CE Council <![CDATA[SR-NASDAQ-2020-001 Order Approving a Proposed Rule Change to Modify the Delisting Process for Securities with a Bid Price at or Below $0.10 and for Securities that Have Had One or More Reverse Stock Splits with a Cumulative Ratio of 250 Shares or More to One over the Prior Two-Year Period]]> http://www.cecouncil.org/media/266701/sr-nasdaq-2020-001.pdf 4/21/2020 12:00:00 AM CE Council <![CDATA[Cboe Regulatory Circular 20-032 Cboe Options Rule 6.9 – In-Kind Exchange of Options Positons and ETF Shares]]> http://www.cecouncil.org/media/266694/cboe-rc20-032.pdf 4/15/2020 12:00:00 AM CE Council <![CDATA[Cboe Regulatory Circular 20-031 Cboe Options Rule 6.8 – Off-Floor RWA Transfers]]> http://www.cecouncil.org/media/266693/cboe-rc20-031.pdf 4/15/2020 12:00:00 AM CE Council <![CDATA[Cboe Regulatory Circular 20-030 boe Options Rule 6.7 – Off-Floor Transfers of Positions]]> http://www.cecouncil.org/media/266692/cboe-rc20-030.pdf 4/15/2020 12:00:00 AM CE Council <![CDATA[MSRB Regulatory Notice 2020-09 MSRB Amends Certain Rules to Provide Regulatory Relief During COVID-19 Pandemic ]]> http://www.cecouncil.org/media/266697/msrb-2020-09.pdf 4/9/2020 12:00:00 AM CE Council <![CDATA[Securities and Exchange Release No. 34-88616 Definition of “Covered Clearing Agency” ]]> http://www.cecouncil.org/media/266696/sec-release-34-88616.pdf 4/9/2020 12:00:00 AM CE Council <![CDATA[FINRA Regulatory Notice 20-11 FINRA Amends Arbitration Code to Expand Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive]]> http://www.cecouncil.org/media/266691/finra-regulatory-notice-20-11.pdf 4/9/2020 12:00:00 AM CE Council <![CDATA[Securities and Exchange Release No. 33–10771 Securities Offering Reform for Closed-End Investment Companies]]> http://www.cecouncil.org/media/266695/sec-release-33-10771.pdf 4/8/2020 12:00:00 AM CE Council <![CDATA[Cboe Regulatory Circular 20-024 Extension of Time for Certain Filings to June 1, 2020]]> http://www.cecouncil.org/media/266688/cboe-rc-20-024.pdf 4/1/2020 12:00:00 AM CE Council <![CDATA[SR-NASDAQ-2020-013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Nasdaq Rule 11890 by Six Months]]> http://www.cecouncil.org/media/266689/sr-nasdaq-2020-013.pdf 3/27/2020 12:00:00 AM CE Council <![CDATA[SR-NYSE-2020-23 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.35A to Allow the Exchange, for a Temporary Period, to publish Trader Updates with Auction Imbalance Information for IPO Auctions]]> http://www.cecouncil.org/media/266690/sr-nyse-2020-23.pdf 3/26/2020 12:00:00 AM CE Council