{"id":1580,"date":"2026-04-17T13:24:00","date_gmt":"2026-04-17T13:24:00","guid":{"rendered":"https:\/\/bdia.pli.edu\/?p=1580"},"modified":"2026-05-01T14:32:29","modified_gmt":"2026-05-01T14:32:29","slug":"updates-on-secfinra-dol-and-more-from-fisolve","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2026\/04\/17\/updates-on-secfinra-dol-and-more-from-fisolve\/","title":{"rendered":"Updates on SEC,FINRA, DOL 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 April 17th 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\/concept\/2026\/34-105251.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-94ReFekqVoNzqLbur7iQtPt06Q8Fw_mBFTehi6LbjRSu2PpnVyUi6qUYC9MaG6YEqF29J1\" target=\"_blank\" rel=\"noopener\" title=\"\">SEC Seeks Public Comment on Consolidated Audit Trail (CAT) and Related Data Sources<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.finra.org\/sites\/default\/files\/fda_documents\/2023077012601%20Brentwood%20Capital%20Advisors%20LLC%20CRD%20118712%20AWC%20lp.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-94ReFekqVoNzqLbur7iQtPt06Q8Fw_mBFTehi6LbjRSu2PpnVyUi6qUYC9MaG6YEqF29J1\" target=\"_blank\" rel=\"noopener\" title=\"\">FINRA Censures Member Firm for Supervisory and Compliance Deficiencies, AML Program Failures<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.dol.gov\/agencies\/ebsa\/employers-and-advisers\/guidance\/field-assistance-bulletins\/2026-01?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-94ReFekqVoNzqLbur7iQtPt06Q8Fw_mBFTehi6LbjRSu2PpnVyUi6qUYC9MaG6YEqF29J1\" target=\"_blank\" rel=\"noopener\" title=\"\">DOL Clarifies Enforcement Focus for Employee Benefits Plans<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.sec.gov\/files\/rules\/exorders\/2026\/34-105248.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-94ReFekqVoNzqLbur7iQtPt06Q8Fw_mBFTehi6LbjRSu2PpnVyUi6qUYC9MaG6YEqF29J1\" target=\"_blank\" rel=\"noopener\" title=\"\">SEC Approves Exemptive Order and Proposed Rule Change to Permit Customer Cross-Margining in the U.S. Treasury Market<\/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-april-17-2026\" target=\"_blank\" rel=\"noopener\" title=\"\">here<\/a>.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>FiSolve&#8216;s April 17th 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-1580","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 4.9.9 - aioseo.com -->\n\t<meta name=\"description\" content=\"FiSolve&#039;s April 17th weekly financial and regulatory news updates: SEC Seeks Public Comment on Consolidated Audit Trail (CAT) and Related Data Sources FINRA Censures Member Firm for Supervisory and Compliance Deficiencies, AML Program Failures DOL Clarifies Enforcement Focus for Employee Benefits Plans SEC Approves Exemptive Order and Proposed Rule Change to Permit Customer Cross-Margining in\" \/>\n\t<meta name=\"robots\" content=\"max-image-preview:large\" \/>\n\t<meta name=\"author\" content=\"Clifford E. 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