{"id":1556,"date":"2026-01-02T15:46:00","date_gmt":"2026-01-02T15:46:00","guid":{"rendered":"https:\/\/bdia.pli.edu\/?p=1556"},"modified":"2026-01-12T20:56:36","modified_gmt":"2026-01-12T20:56:36","slug":"updates-on-sec-finra-cftc-and-more-from-fisolve","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2026\/01\/02\/updates-on-sec-finra-cftc-and-more-from-fisolve\/","title":{"rendered":"Updates on SEC, FINRA, CFTC and more from FiSolve"},"content":{"rendered":"\n<p><a href=\"http:\/\/fisolve.com\/\" target=\"_blank\" rel=\"noreferrer noopener\">FiSolve<\/a>&#8216;s January 2nd 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.sec.gov\/files\/litigation\/complaints\/2025\/comp-pr2025-144.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-9H76OWATv8ptWoB3rGiT7xkeAvSH_cnqTmuVnNUgWwNAbB0UKefHTwpj5DwRQXl3ONZ2Po\" target=\"_blank\" rel=\"noopener\" title=\"\">SEC Charges Three Purported Crypto Asset Trading Platforms and Four Investment Clubs with Scheme That Targeted Retail Investors on Social Media<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.finra.org\/sites\/default\/files\/2025-12\/american-portfolios-awc-20220768116-20251230.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-9H76OWATv8ptWoB3rGiT7xkeAvSH_cnqTmuVnNUgWwNAbB0UKefHTwpj5DwRQXl3ONZ2Po\" target=\"_blank\" rel=\"noopener\" title=\"\">FINRA Orders Firm to Pay $4.6 Million in Restitution for Overcollection of Fees, Retention of Surplus Interest<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.cftc.gov\/PressRoom\/PressReleases\/9164-25?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-9H76OWATv8ptWoB3rGiT7xkeAvSH_cnqTmuVnNUgWwNAbB0UKefHTwpj5DwRQXl3ONZ2Po\" target=\"_blank\" rel=\"noopener\" title=\"\">Michael Selig Sworn In as 16th CFTC Chairman<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.sifma.org\/news\/blog\/strengthening-finra-arbitration-would-promote-fairness-efficiency-and-confidence?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-9H76OWATv8ptWoB3rGiT7xkeAvSH_cnqTmuVnNUgWwNAbB0UKefHTwpj5DwRQXl3ONZ2Po\" target=\"_blank\" rel=\"noopener\" title=\"\">SIFMA Urges FINRA Arbitration Reforms to Enhance Fairness and Efficiency<\/a><\/li>\n<\/ul>\n\n\n\n<p>Read the full update <a href=\"https:\/\/45514485.hs-sites.com\/fisolve-weekly-news-digest-january-2-2026\" target=\"_blank\" rel=\"noopener\" title=\"\">here<\/a>.<\/p>\n\n\n\n<p><\/p>\n","protected":false},"excerpt":{"rendered":"<p>FiSolve&#8216;s January 2nd 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":[23,24,21,22],"tags":[],"class_list":["post-1556","post","type-post","status-publish","format-standard","hentry","category-compliance","category-enforcement","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\/1556","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=1556"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1556\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=1556"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=1556"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=1556"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}