{"id":1523,"date":"2025-09-12T12:31:00","date_gmt":"2025-09-12T12:31:00","guid":{"rendered":"https:\/\/bdia.wpenginepowered.com\/?p=1523"},"modified":"2025-09-12T20:43:02","modified_gmt":"2025-09-12T20:43:02","slug":"updates-on-sec-cftc-esma-and-more-from-fisolve","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2025\/09\/12\/updates-on-sec-cftc-esma-and-more-from-fisolve\/","title":{"rendered":"Updates on SEC, CFTC, ESMA and more from FiSolve"},"content":{"rendered":"\n<p class=\"wp-block-paragraph\"><a href=\"http:\/\/FiSolve.com\" target=\"_blank\" rel=\"noopener\" title=\"\">FiSolve<\/a>&#8216;s September 12th weekly financial and regulatory news updates:<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li><a href=\"https:\/\/www.sec.gov\/newsroom\/speeches-statements\/atkins-2025-rule10c1aandrule13f-090525?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz--2HjmkmuO6q_6JAtKfGktEoTsqos928kaUjzPyUoHIXCiNs5gfGa6bSW-yy2dJ5WlJVOFy\" target=\"_blank\" rel=\"noopener\" title=\"\">SEC Chairman Directs Staff to Evaluate Short Selling and Securities Lending Rules Following Court Setback\u00a0<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.finra.org\/sites\/default\/files\/fda_documents\/2024081936601%20Derrick%20Hostert%20CRD%206583919%20AWC%20ks.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz--2HjmkmuO6q_6JAtKfGktEoTsqos928kaUjzPyUoHIXCiNs5gfGa6bSW-yy2dJ5WlJVOFy\" target=\"_blank\" rel=\"noopener\" title=\"\">Registered Representative Sanctioned for Filing Falsified Insurance Claim\u00a0<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.cftc.gov\/PressRoom\/PressReleases\/9116-25?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz--2HjmkmuO6q_6JAtKfGktEoTsqos928kaUjzPyUoHIXCiNs5gfGa6bSW-yy2dJ5WlJVOFy\" target=\"_blank\" rel=\"noopener\" title=\"\">CFTC Issues Policy Statement on Referrals for Potential Criminal Enforcement\u00a0<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.cftc.gov\/PressRoom\/PressReleases\/9116-25?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz--2HjmkmuO6q_6JAtKfGktEoTsqos928kaUjzPyUoHIXCiNs5gfGa6bSW-yy2dJ5WlJVOFy\" target=\"_blank\" rel=\"noopener\" title=\"\">ESMA Issues Risk Monitoring Report\u00a0\u00a0<\/a><\/li>\n<\/ul>\n\n\n\n<p class=\"wp-block-paragraph\">Read the full update <a href=\"https:\/\/45514485.hs-sites.com\/fisolve-weekly-news-digest-september-12-2025\" target=\"_blank\" rel=\"noopener\" title=\"\">here.<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>FiSolve&#8216;s September 12th weekly financial and regulatory news updates: Read the full update here.<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_exactmetrics_skip_tracking":false,"_exactmetrics_sitenote_active":false,"_exactmetrics_sitenote_note":"","_exactmetrics_sitenote_category":0,"footnotes":""},"categories":[23,24,25,21,22],"tags":[],"class_list":["post-1523","post","type-post","status-publish","format-standard","hentry","category-compliance","category-enforcement","category-international","category-regulatory","category-standard-of-care"],"aioseo_notices":[],"aioseo_head":"\n\t\t<!-- All in One SEO 4.9.9 - aioseo.com -->\n\t<meta name=\"description\" content=\"FiSolve&#039;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.\" \/>\n\t<meta name=\"robots\" content=\"max-image-preview:large\" \/>\n\t<meta name=\"author\" content=\"Clifford E. 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