{"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><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>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":[],"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1580","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=1580"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1580\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=1580"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=1580"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=1580"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}