{"id":1546,"date":"2025-10-24T12:15:00","date_gmt":"2025-10-24T12:15:00","guid":{"rendered":"https:\/\/bdia.pli.edu\/?p=1546"},"modified":"2025-11-14T18:57:00","modified_gmt":"2025-11-14T18:57:00","slug":"updates-on-finra-fincen-and-more-from-fisolve","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2025\/10\/24\/updates-on-finra-fincen-and-more-from-fisolve\/","title":{"rendered":"Updates on FINRA, FinCEN 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 October 24th weekly financial and regulatory news updates:<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.finra.org\/sites\/default\/files\/fda_documents\/2024080211301%20Alexander%20Investment%20Services%20Co.%2C%20CRD%201037%20AWC%20lp.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz--h5U-IQIfwiFJJOE2o8SJRfgB_vuyHLxeirL-UXY52ZuGDqVcuBNV1u05Tj9fiCo3wKJiF\" target=\"_blank\" rel=\"noopener\" title=\"\">FINRA Fines and Censures Firm for Lack of Reg BI Procedures<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.fincen.gov\/system\/files\/2025-10\/SAR-FAQs-October-2025.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz--h5U-IQIfwiFJJOE2o8SJRfgB_vuyHLxeirL-UXY52ZuGDqVcuBNV1u05Tj9fiCo3wKJiF\" target=\"_blank\" rel=\"noopener\" title=\"\">FinCEN Issues FAQs to Clarify Suspicious Activity Reporting Requirements<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.sifma.org\/wp-content\/uploads\/2025\/10\/SIFMA-and-KPMG_Investor_Study.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz--h5U-IQIfwiFJJOE2o8SJRfgB_vuyHLxeirL-UXY52ZuGDqVcuBNV1u05Tj9fiCo3wKJiF\" target=\"_blank\" rel=\"noopener\" title=\"\">Survey Finds High Level of Trust in the Investment Industry, Key to Retention is Combining Trust with Technology<\/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-october-24-2025\" target=\"_blank\" rel=\"noopener\" title=\"\">here<\/a>.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>FiSolve&#8216;s October 24th 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-1546","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 October 24th weekly financial and regulatory news updates: FINRA Fines and Censures Firm for Lack of Reg BI Procedures FinCEN Issues FAQs to Clarify Suspicious Activity Reporting Requirements Survey Finds High Level of Trust in the Investment Industry, Key to Retention is Combining Trust with Technology 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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