Legal Perspectives on Current Regulatory Developments for BDs and IAs

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Monthly Archives: July 2025

Compliance, Enforcement, International, Regulatory, Standard of Care

FiSolve’s Weekly Financial and Regulatory Updates — July 4, 2025

July 10, 2025 Clifford E. Kirsch, Editor Leave a comment

From our friends at FiSolve, this week’s financial and regulatory news:

  • SEC Division of Corporation Issues Statement on Crypto Asset Exchange-Traded Products
  • SEC Chairman Discusses Innovation and Priorities in CNBC Interview
  • FINRA Announces Proposed Amendments to Rule 2210 (Communications with the Public)
  • CFTC Issues FAQs on Future Commission Merchant Registration Requirements
  • Private Equity Deal Activity Remains Positive
  • ESMA Publishes Note on Sustainability-Related Claims

Read the full update here.

Clifford E. Kirsch, Editor

Eversheds Sutherland

With more than 25 years of experience, Cliff regularly counsels clients on the design and distribution of investment products including wrap-fee programs and other advisory products, mutual funds, bank collective investment funds and insurance products. He also focuses on issues related to the design and implementation of compliance programs at financial services firms.

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  • FINRA Foundation Announces New Appointments to Board of Directors

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