{"id":1545,"date":"2025-11-14T16:58:58","date_gmt":"2025-11-14T16:58:58","guid":{"rendered":"https:\/\/bdia.pli.edu\/?p=1545"},"modified":"2025-11-14T18:55:18","modified_gmt":"2025-11-14T18:55:18","slug":"updates-on-sec-finra-fca-and-more-from-fisolve-2","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2025\/11\/14\/updates-on-sec-finra-fca-and-more-from-fisolve-2\/","title":{"rendered":"Updates on SEC, FINRA, FCA and more from FiSolve"},"content":{"rendered":"\n<p><a href=\"http:\/\/FiSolve.com\" target=\"_blank\" rel=\"noopener\" title=\"\">FiSolve<\/a>&#8216;s November 14th 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\/whats-new\/division-corporation-finance-guidance-after-government-shutdown?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-9kKYVXUnY5LDk1C_0sSUS2LSJD_qj5M9f1nuRyqSxJXJsxJ01lsnPp1efieU6ogJcGRsn7\" target=\"_blank\" rel=\"noopener\" title=\"\">SEC\u2019s Division of Corporation Finance Issues Guidance Following the Shutdown<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.airesumebuilder.com\/3-in-10-companies-plan-to-replace-employees-with-ai-in-2026\/?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-9kKYVXUnY5LDk1C_0sSUS2LSJD_qj5M9f1nuRyqSxJXJsxJ01lsnPp1efieU6ogJcGRsn7\" target=\"_blank\" rel=\"noopener\" title=\"\">3 in 10 Companies Plan to Replace Employees with\u00a0AI in 2026<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.finra.org\/sites\/default\/files\/fda_documents\/2025085030301%20Jacob%20Lee%20Harper%20CRD%204258319%20AWC%20lp.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-9kKYVXUnY5LDk1C_0sSUS2LSJD_qj5M9f1nuRyqSxJXJsxJ01lsnPp1efieU6ogJcGRsn7\" target=\"_blank\" rel=\"noopener\" title=\"\">FINRA Fines and Suspends Broker for Borrowing Money from Customers without Prior Approval<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.fca.org.uk\/news\/press-releases\/fca-partners-singapore-drive-growth-ai-innovation?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-9kKYVXUnY5LDk1C_0sSUS2LSJD_qj5M9f1nuRyqSxJXJsxJ01lsnPp1efieU6ogJcGRsn7\" target=\"_blank\" rel=\"noopener\" title=\"\">FCA Announces Partnership with Singapore to Drive Growth and AI Innovation<\/a><\/li>\n<\/ul>\n\n\n\n<p>Read the full update <a href=\"https:\/\/45514485.hs-sites.com\/fisolve-weekly-news-digest-november-14-2025\" target=\"_blank\" rel=\"noopener\" title=\"\">here<\/a>.<\/p>\n\n\n\n<p><\/p>\n","protected":false},"excerpt":{"rendered":"<p>FiSolve&#8216;s November 14th 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-1545","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\/1545","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=1545"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1545\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=1545"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=1545"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=1545"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}