{"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 class=\"wp-block-paragraph\"><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 class=\"wp-block-paragraph\">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 class=\"wp-block-paragraph\"><\/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":[],"aioseo_head":"\n\t\t<!-- All in One SEO 4.9.9 - aioseo.com -->\n\t<meta name=\"description\" content=\"FiSolve&#039;s November 14th weekly financial and regulatory news updates: SEC\u2019s Division of Corporation Finance Issues Guidance Following the Shutdown 3 in 10 Companies Plan to Replace Employees with AI in 2026 FINRA Fines and Suspends Broker for Borrowing Money from Customers without Prior Approval FCA Announces Partnership with Singapore to Drive Growth and AI Innovation Read\" \/>\n\t<meta name=\"robots\" content=\"max-image-preview:large\" \/>\n\t<meta name=\"author\" content=\"Clifford E. 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