{"id":1570,"date":"2026-03-09T15:56:24","date_gmt":"2026-03-09T15:56:24","guid":{"rendered":"https:\/\/bdia.pli.edu\/?p=1570"},"modified":"2026-03-09T15:56:27","modified_gmt":"2026-03-09T15:56:27","slug":"updates-on-sec-finra-cftc-and-more-from-fisolve-5","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2026\/03\/09\/updates-on-sec-finra-cftc-and-more-from-fisolve-5\/","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 March 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.sec.gov\/files\/rules\/final\/2026\/34-104903.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-_I5IE8LSaj-M4BwaaBCn74yNr94Ve2tcBgogACvdGHnUB59DPNSWml3WJvnAicUTchipI0\" target=\"_blank\" rel=\"noopener\" title=\"\">SEC Adopts Final Rules for the Holding Foreign Insiders Accountable Act<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.finra.org\/sites\/default\/files\/fda_documents\/2017056222301%20Folio%20Investments%2C%20Inc.%20CRD%2048015%20AWC%20ks.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-_I5IE8LSaj-M4BwaaBCn74yNr94Ve2tcBgogACvdGHnUB59DPNSWml3WJvnAicUTchipI0\" target=\"_blank\" rel=\"noopener\" title=\"\">FINRA Censures and Sanctions Firm $1.3 Million for Best Execution and Supervisory Failures<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/file:\/\/\/C:\/Users\/gohanlon\/Downloads\/Enf_AdvisoryKalshi022526.pdf\" target=\"_blank\" rel=\"noopener\" title=\"\">CFTC Enforcement Division Issues Prediction Markets Advisory<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.justice.gov\/usao-ct\/pr\/indictment-charges-investment-advisor-defrauding-financial-services-companies-33-0?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-_I5IE8LSaj-M4BwaaBCn74yNr94Ve2tcBgogACvdGHnUB59DPNSWml3WJvnAicUTchipI0\" target=\"_blank\" rel=\"noopener\" title=\"\">Federal Indictment Charges Investment Advisor with Defrauding Financial Services Companies of $3.3. Million<\/a><\/li>\n<\/ul>\n\n\n\n<p>Read the full update <a href=\"https:\/\/45514485.hs-sites.com\/fisolve-weekly-news-digest-march-6-2026\" target=\"_blank\" rel=\"noopener\" title=\"\">here<\/a>.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>FiSolve&#8216;s March 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":[23,24,25,21,22],"tags":[],"class_list":["post-1570","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\/1570","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=1570"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1570\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=1570"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=1570"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=1570"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}