FiSolve‘s September 12th weekly financial and regulatory news updates:

• SEC Chairman Directs Staff to Evaluate Short Selling and Securities Lending Rules Following Court Setback 
• Registered Representative Sanctioned for Filing Falsified Insurance Claim 
• CFTC Issues Policy Statement on Referrals for Potential Criminal Enforcement 
• ESMA Issues Risk Monitoring Report  

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FiSolve‘s August 29th weekly financial and regulatory news updates:

• Fifth Circuit Remands SEC Short Sales and Securities Lending Disclosure Rules
• SEC Obtains Final Judgment against Investment Adviser in Cherry-Picking Scheme
• ISDA, SIFMA and FIA Comments on Enhanced Supplementary Leverage Ratio Reforms
• CFTC Acting Chairman Announces Next Crypto Sprint Initiative

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FiSolve‘s August 22nd weekly financial and regulatory news updates:

• SEC Names Judge Margaret Ryan as Director of the Division of Enforcement
• SEC Announces Three Insider Trading Cases
• US Department of Labor Rescinds 2021 Supplemental Statement on Alternative Assets in 401(k) Plans
• ESMA and the EEA Sign Sustainable Finance MOU

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FiSolve‘s August 15th weekly financial and regulatory news updates:

• SEC Obtains Judgment Against PCAOB Firm and its Managing Partner in Financial Fraud Case
• SEC Settles Case with Broker in Options Spoofing Case
• Federal Court Orders New York Man to Pay Over $3.4 Million For Forex Fraud Scheme Following CFTC Summary Judgment Ruling
• South Korean Crypto Entrepreneur Pleads Guilty in $40 Billion Crypto Collapse
• SEC Launches New Statistics and Data Visualizations Webpage

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FiSolve‘s August 8th weekly financial and regulatory news updates:

• SEC Charges Colorado-Based Investment Adviser with Reg M Trading Violations
• Executive Order to Facilitate Investment by Retirement Plans in a Wider Range of Assets
• Defense Contractor and Private Equity Firm Agree to Pay $1.75M to Resolve False Claims Act Liability Relating to Voluntary Self-Disclosure of Cybersecurity Violations
• SEC’s Division of Corporation Finance Issues Staff Statement on Liquid Staking Activities
• EFRAG Publishes Amended ESRS Exposure Drafts

Read the full update here.