{"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><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>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":[],"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1546","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=1546"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1546\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=1546"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=1546"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=1546"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}