{"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><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>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":[],"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1523","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/comments?post=1523"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1523\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=1523"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=1523"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=1523"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}