Legal Perspectives on Current Regulatory Developments for BDs and IAs

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Updates on FINRA, SEC, CFTC and more from FiSolve

January 20, 2026 Clifford E. Kirsch, Editor Leave a comment

FiSolve‘s January 16th weekly financial and regulatory news updates:

FINRA Requests Comment on Rule Revisions to Help Member Firms Protect Senior Investors from Financial Exploitation and All Investors from Fraud
SEC Director of Investment Management Delivers Speech on Proxy Voting
Future-Ready Finance Talent: Key Trends from the 2026 Financial Executives Priorities Report
CFTC Launches Innovation Advisory Committee
ESMA Promotes Clarity in Communications on ESG Strategies

Read the full update here.

Compliance, Enforcement, International, Regulatory, Standard of Care

Updates on SEC, FCA, AI and more from FiSolve

January 10, 2026 Clifford E. Kirsch, Editor Leave a comment

FiSolve‘s January 9th weekly financial and regulatory news updates:

JP Morgan Chase Pivots to Internal, AI Driven Platform for Proxy Voting Decisions
SEC Proposes Amendments to the Small Entity Definitions for Investment Companies and Investment Advisers for Purposes of the Regulatory Flexibility Act
Bank Insider Pleads Guilty to Facilitating Money Laundering
FCA Fines Two Former Finance Directors for Company’s Misleading Statements
ESAs Publish Joint Guidelines on ESG Stress Testing

Compliance, Enforcement, Regulatory, Standard of Care

Updates on SEC, FINRA, CFTC and more from FiSolve

January 2, 2026 Clifford E. Kirsch, Editor Leave a comment

FiSolve‘s January 2nd weekly financial and regulatory news updates:

SEC Charges Three Purported Crypto Asset Trading Platforms and Four Investment Clubs with Scheme That Targeted Retail Investors on Social Media
FINRA Orders Firm to Pay $4.6 Million in Restitution for Overcollection of Fees, Retention of Surplus Interest
Michael Selig Sworn In as 16th CFTC Chairman
SIFMA Urges FINRA Arbitration Reforms to Enhance Fairness and Efficiency

Read the full update here.

Updates on SEC, ESMA and more from FiSolve

December 19, 2025 Grace O'Hanlon Leave a comment

FiSolve‘s December 19th weekly financial and regulatory news updates:

SEC Division of Examinations Issues Marketing Rule Risk Alert
House Passes INVEST Act
SEC’s Division of Trading and Market Issues Statement on the Custody of Crypto Asset Securities by Broker-Dealers
ESMA Reviews Impact of Guidelines on ESG or Sustainability Related Terms in Fund Names

Read the full update here.

Compliance, Enforcement, International, Regulatory, Standard of Care

Updates on FINRA, FCA, AI and more from FiSolve

December 13, 2025 Clifford E. Kirsch, Editor Leave a comment

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

FINRA Issues 2026 Annual Regulatory Oversight Report
Artificial Intelligence White Paper Released to Guide Adoption Across Financial Services
ESMA Announces Supervisory Expectations for the Management Body
Stablecoin Payments Identified as a Priority for the FCA’s 2026 Growth Achievements

Read the full update here.

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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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