{"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><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>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><\/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":[],"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1562","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=1562"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1562\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=1562"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=1562"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=1562"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}