{"id":1565,"date":"2026-02-06T13:12:00","date_gmt":"2026-02-06T13:12:00","guid":{"rendered":"https:\/\/bdia.pli.edu\/?p=1565"},"modified":"2026-02-17T17:20:38","modified_gmt":"2026-02-17T17:20:38","slug":"updates-on-ftc-sec-finra-and-more-from-fisolve","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2026\/02\/06\/updates-on-ftc-sec-finra-and-more-from-fisolve\/","title":{"rendered":"Updates on FTC, SEC, FINRA, and more from FiSolve"},"content":{"rendered":"\n<p><a href=\"http:\/\/fisolve.com\/\" target=\"_blank\" rel=\"noreferrer noopener\">FiSolve<\/a>&#8216;s February 6th 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.ftc.gov\/system\/files\/ftc_gov\/pdf\/2026-01-29-warning-letter-diversity-lab.pdf?utm_source=hs_email&amp;utm_medium=email&amp;utm_content=402379549&amp;_hsenc=p2ANqtz--Ant5xnZpYwiEva-ac2W6-uC6ofykIfVU-xdnHf3zacMif6poyouOH7JAMTEXP4pIej5UGAhk9zWI7OPji1r9D9FEjcQ\" target=\"_blank\" rel=\"noopener\" title=\"\">Federal Trade Commission Chairman Andrew N. Ferguson Issues Warning Letters to Law Firms on Anticompetitive DEI Hiring<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.sec.gov\/newsroom\/speeches-statements\/daly-020326-artificial-intelligence-future-investment-management?utm_source=hs_email&amp;utm_medium=email&amp;utm_content=402379549&amp;_hsenc=p2ANqtz--Ant5xnZpYwiEva-ac2W6-uC6ofykIfVU-xdnHf3zacMif6poyouOH7JAMTEXP4pIej5UGAhk9zWI7OPji1r9D9FEjcQ\" target=\"_blank\" rel=\"noopener\" title=\"\">SEC Division of IM Director Discusses Modernizing Investment Management in the Age of Artificial Intelligence, Invites Industry Collaboration<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.finra.org\/sites\/default\/files\/fda_documents\/2020065592401%20Velocity%20Capital%2C%20LLC%20CRD%20171810%20AWC%20ks.pdf?utm_source=hs_email&amp;utm_medium=email&amp;utm_content=402379549&amp;_hsenc=p2ANqtz--Ant5xnZpYwiEva-ac2W6-uC6ofykIfVU-xdnHf3zacMif6poyouOH7JAMTEXP4pIej5UGAhk9zWI7OPji1r9D9FEjcQ\" target=\"_blank\" rel=\"noopener\" title=\"\">FINRA Fines Firm for Outside Business Activities Violations<\/a><\/li>\n<\/ul>\n\n\n\n<p>Read the full update <a href=\"https:\/\/45514485.hs-sites.com\/fisolve-weekly-news-digest-february-6-2027?ecid=ACsprvvhxdjhU84088JApRJA3BlkKb2z_3ZCNxC-Ysw40QBqyFQw4BEKM5DgKQYLRFCbM7bxSb4G&amp;utm_medium=email&amp;_hsenc=p2ANqtz--jVHeYFEkSPCbolaX4tDOpGurxmTO0rrifP8Jxi3hrdYiPbLXOFqat4o7UOuSmTCyCS6KlQrtdh4Bnu1Qrycr4ZHvKDw&amp;_hsmi=402379549&amp;utm_content=402379549&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 February 6th 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],"tags":[],"class_list":["post-1565","post","type-post","status-publish","format-standard","hentry","category-compliance","category-enforcement","category-regulatory"],"aioseo_notices":[],"aioseo_head":"\n\t\t<!-- All in One SEO 4.9.8 - aioseo.com -->\n\t<meta name=\"description\" content=\"FiSolve&#039;s February 6th weekly financial and regulatory news updates: Federal Trade Commission Chairman Andrew N. 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Ferguson Issues Warning Letters to Law Firms on Anticompetitive DEI Hiring SEC Division of IM Director Discusses Modernizing Investment Management in the Age of Artificial Intelligence, Invites Industry Collaboration FINRA Fines Firm for Outside Business Activities Violations Read the full\" \/>\n\t\t<script type=\"application\/ld+json\" class=\"aioseo-schema\">\n\t\t\t{\"@context\":\"https:\\\/\\\/schema.org\",\"@graph\":[{\"@type\":\"Article\",\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/2026\\\/02\\\/06\\\/updates-on-ftc-sec-finra-and-more-from-fisolve\\\/#article\",\"name\":\"Updates on FTC, SEC, FINRA, and more from FiSolve | Legal Perspectives on Current Regulatory Developments for BDs and IAs\",\"headline\":\"Updates on FTC, SEC, FINRA, and more from FiSolve\",\"author\":{\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/author\\\/mshah\\\/#author\"},\"publisher\":{\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/#organization\"},\"datePublished\":\"2026-02-06T13:12:00+00:00\",\"dateModified\":\"2026-02-17T17:20:38+00:00\",\"inLanguage\":\"en-US\",\"mainEntityOfPage\":{\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/2026\\\/02\\\/06\\\/updates-on-ftc-sec-finra-and-more-from-fisolve\\\/#webpage\"},\"isPartOf\":{\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/2026\\\/02\\\/06\\\/updates-on-ftc-sec-finra-and-more-from-fisolve\\\/#webpage\"},\"articleSection\":\"Compliance, Enforcement, Regulatory\"},{\"@type\":\"BreadcrumbList\",\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/2026\\\/02\\\/06\\\/updates-on-ftc-sec-finra-and-more-from-fisolve\\\/#breadcrumblist\",\"itemListElement\":[{\"@type\":\"ListItem\",\"@id\":\"https:\\\/\\\/bdia.pli.edu#listItem\",\"position\":1,\"name\":\"Home\",\"item\":\"https:\\\/\\\/bdia.pli.edu\",\"nextItem\":{\"@type\":\"ListItem\",\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/category\\\/compliance\\\/#listItem\",\"name\":\"Compliance\"}},{\"@type\":\"ListItem\",\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/category\\\/compliance\\\/#listItem\",\"position\":2,\"name\":\"Compliance\",\"item\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/category\\\/compliance\\\/\",\"nextItem\":{\"@type\":\"ListItem\",\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/2026\\\/02\\\/06\\\/updates-on-ftc-sec-finra-and-more-from-fisolve\\\/#listItem\",\"name\":\"Updates on FTC, SEC, FINRA, and more from FiSolve\"},\"previousItem\":{\"@type\":\"ListItem\",\"@id\":\"https:\\\/\\\/bdia.pli.edu#listItem\",\"name\":\"Home\"}},{\"@type\":\"ListItem\",\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/2026\\\/02\\\/06\\\/updates-on-ftc-sec-finra-and-more-from-fisolve\\\/#listItem\",\"position\":3,\"name\":\"Updates on FTC, SEC, FINRA, and more from FiSolve\",\"previousItem\":{\"@type\":\"ListItem\",\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/category\\\/compliance\\\/#listItem\",\"name\":\"Compliance\"}}]},{\"@type\":\"Organization\",\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/#organization\",\"name\":\"Legal Perspectives on Current Regulatory Developments for BDs and IAs\",\"url\":\"https:\\\/\\\/bdia.pli.edu\\\/\"},{\"@type\":\"Person\",\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/author\\\/mshah\\\/#author\",\"url\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/author\\\/mshah\\\/\",\"name\":\"Clifford E. 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