FiSolve‘s September 26th weekly financial and regulatory news updates:

• SEC Charges Broker-Dealer for False and Misleading Statements Regarding Speed of Market Data; Announces $5 Million Settlement
• FinCEN Issues Proposed Rule to Postpone Effective Date of Investment Adviser Rule
• PWC Issues Report on Future of the Financial Services Industry
• SEC Brings Charges in Fraudulent “Free-Riding” Scheme
• European Supervisors Implore Financial Institutions to Stay Alert to Stability Risks 

Read the full update here.

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  

Read the full update here.

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

Read the full update here.

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

Read the full update here.