{"id":1562,"date":"2026-01-26T11:46:00","date_gmt":"2026-01-26T11:46:00","guid":{"rendered":"https:\/\/bdia.pli.edu\/?p=1562"},"modified":"2026-02-17T16:56:43","modified_gmt":"2026-02-17T16:56:43","slug":"updates-on-sec-finra-cftc-and-more-from-fisolve-2","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2026\/01\/26\/updates-on-sec-finra-cftc-and-more-from-fisolve-2\/","title":{"rendered":"Updates on SEC, FINRA, CFTC and more from FiSolve"},"content":{"rendered":"\n<p class=\"wp-block-paragraph\"><a href=\"http:\/\/fisolve.com\/\" target=\"_blank\" rel=\"noreferrer noopener\">FiSolve<\/a>&#8216;s January 23rd weekly financial and regulatory news updates:<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li><a href=\"https:\/\/www.sec.gov\/rules-regulations\/staff-guidance\/division-investment-management-frequently-asked-questions\/marketing-compliance-frequently-asked-questions?utm_source=hs_email&amp;utm_medium=email&amp;utm_content=399984234&amp;_hsenc=p2ANqtz-8so6SApub4sA9D15YZ9ngXSstwTxU3zzQ7aZrSynqOIRqryFfIrrx5eryFtH1L4oml359Pz2-YSyjdCDd_xxm8Zy7jVA\" target=\"_blank\" rel=\"noopener\" title=\"\">SEC Division of Investment Management Updates Marketing Rule FAQs<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.finra.org\/sites\/default\/files\/fda_documents\/2018057331002%20Cetera%20Advisors%20LLC%20CRD%2010299%20Cetera%20Wealth%20Services%2C%20LLC%20%28fka%20Cetera%20Advisor%20Networks%20LLC%20CRD%2013572%20Cetera%20Investment%20Services%20LLC%20CRD%2015340%20AWC%20ks.pdf?utm_source=hs_email&amp;utm_medium=email&amp;utm_content=399984234&amp;_hsenc=p2ANqtz-8so6SApub4sA9D15YZ9ngXSstwTxU3zzQ7aZrSynqOIRqryFfIrrx5eryFtH1L4oml359Pz2-YSyjdCDd_xxm8Zy7jVA\" target=\"_blank\" rel=\"noopener\" title=\"\">FINRA Sanctions Financial Services Firm for Supervisory, AML, and Recordkeeping Failures \u00a0<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.cftc.gov\/PressRoom\/PressReleases\/9170-26?utm_source=hs_email&amp;utm_medium=email&amp;utm_content=399984234&amp;_hsenc=p2ANqtz-8so6SApub4sA9D15YZ9ngXSstwTxU3zzQ7aZrSynqOIRqryFfIrrx5eryFtH1L4oml359Pz2-YSyjdCDd_xxm8Zy7jVA\" target=\"_blank\" rel=\"noopener\" title=\"\">CFTC and SEC to Hold Joint Event on Harmonization, U.S. Financial Leadership in the Crypto Era<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.fca.org.uk\/publication\/mou\/mou-fca-boe-pra-esa-critical-third-parties.pdf?utm_source=hs_email&amp;utm_medium=email&amp;utm_content=399984234&amp;_hsenc=p2ANqtz-8so6SApub4sA9D15YZ9ngXSstwTxU3zzQ7aZrSynqOIRqryFfIrrx5eryFtH1L4oml359Pz2-YSyjdCDd_xxm8Zy7jVA\" target=\"_blank\" rel=\"noopener\" title=\"\">UK and EU Regulators Sign MOU to Strengthen Oversight of Critical Third Parties<\/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-january-2-2028?ecid=ACsprvsH8NvGVPBLEEgxGLjhI0jqpHRh63xPEHn84IuhfWlac0T5F1YEA4Sq-JdaolslitYSdznc&amp;utm_medium=email&amp;_hsenc=p2ANqtz-9NZPJkB7E7NFxWXsNgmKbUitPh0sRGR9vOSyHwXlvqhyH8WyzcX8CJEWGa5oBIcOgUUrJ3i1ASaYa8U-tm7LLuHcQLkQ&amp;_hsmi=399984234&amp;utm_content=399984234&amp;utm_source=hs_email\" 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 January 23rd 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-1562","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 January 23rd weekly financial and regulatory news updates: SEC Division of Investment Management Updates Marketing Rule FAQs FINRA Sanctions Financial Services Firm for Supervisory, AML, and Recordkeeping Failures CFTC and SEC to Hold Joint Event on Harmonization, U.S. Financial Leadership in the Crypto Era UK and EU Regulators Sign MOU to Strengthen Oversight\" \/>\n\t<meta name=\"robots\" content=\"max-image-preview:large\" \/>\n\t<meta name=\"author\" content=\"Clifford E. 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