{"id":1585,"date":"2026-05-04T18:42:00","date_gmt":"2026-05-04T18:42:00","guid":{"rendered":"https:\/\/bdia.pli.edu\/?p=1585"},"modified":"2026-06-09T12:10:39","modified_gmt":"2026-06-09T12:10:39","slug":"updates-on-sec-cftc-finra-fca-and-more-from-fisolve-3","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2026\/05\/04\/updates-on-sec-cftc-finra-fca-and-more-from-fisolve-3\/","title":{"rendered":"Updates on CFTC, SEC, FINRA, and more from FiSolve"},"content":{"rendered":"\n<p>This week brought a busy mix of enforcement, policy, and market-structure developments across the financial services landscape:<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>The CFTC <a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/file:\/\/\/C:\/Users\/gohanlon\/Downloads\/ENFWisconsinComplaint042826%20(1).pdf\" target=\"_blank\" rel=\"noopener\" title=\"\">sued Wisconsin<\/a> as part of its broader effort to defend federal authority over prediction markets and separately brought an <a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/file:\/\/\/C:\/Users\/gohanlon\/Downloads\/EnfGannonKenVanDykeComplaint042326.pdf\" target=\"_blank\" rel=\"noopener\" title=\"\">insider trading case<\/a> tied to Nicol\u00e1s Maduro-related event contracts <\/li>\n\n\n\n<li>SEC Chairman Paul Atkins outlined the<a href=\"https:\/\/www.sec.gov\/newsroom\/speeches-statements\/atkins-keynote-remarks-economic-club-washington-042126?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-8IcgKj1LTWJ_q7lTO0rLAqEHaXahZHqgNdCdjtJKEYuofiCol8uV8fArrl8BOwnd6I8fRB\" target=\"_blank\" rel=\"noopener\" title=\"\"> agency\u2019s \u201cACT\u201d strategy<\/a> to advance, clarify, and transform the SEC\u2019s regulatory framework<\/li>\n\n\n\n<li>FINRA sanctioned a broker-dealer for <a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.finra.org\/sites\/default\/files\/fda_documents\/2023077001001%20Andes%20Capital%20Group%2C%20LLC%20CRD%20139212%20AWC%20ks.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-8IcgKj1LTWJ_q7lTO0rLAqEHaXahZHqgNdCdjtJKEYuofiCol8uV8fArrl8BOwnd6I8fRB\" target=\"_blank\" rel=\"noopener\" title=\"\">Regulation Best Interest failures <\/a>and late private placement filings<\/li>\n\n\n\n<li><a href=\"https:\/\/occ.gov\/news-issuances\/news-releases\/2026\/nr-occ-2026-32.html?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-8IcgKj1LTWJ_q7lTO0rLAqEHaXahZHqgNdCdjtJKEYuofiCol8uV8fArrl8BOwnd6I8fRB\" target=\"_blank\" rel=\"noopener\" title=\"\">The OCC moved to clarify national bank fee authority and assert federal preemption over Illinois\u2019 interchange fee law<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.esma.europa.eu\/document\/call-evidence-market-structure-european-equity-markets?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-8IcgKj1LTWJ_q7lTO0rLAqEHaXahZHqgNdCdjtJKEYuofiCol8uV8fArrl8BOwnd6I8fRB\" target=\"_blank\" rel=\"noopener\" title=\"\">ESMA launched a call for evidence on the structure of European equity markets<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.pwc.com\/us\/en\/services\/consulting\/human-resources\/library\/employee-financial-wellness-survey.html\" target=\"_blank\" rel=\"noopener\" title=\"\">PwC\u2019s latest financial wellness survey highlighted employee financial stress as an increasingly visible business and workforce risk<\/a><\/li>\n<\/ul>\n\n\n\n<p>Read the full update from<a href=\"http:\/\/fisolve.com\/\" target=\"_blank\" rel=\"noopener\" title=\"\"> FiSolve<\/a> <a href=\"https:\/\/45514485.hs-sites.com\/fisolve-weekly-news-digest-may-1-2026\" target=\"_blank\" rel=\"noopener\" title=\"\">here<\/a>.<\/p>\n\n\n\n<p><\/p>\n","protected":false},"excerpt":{"rendered":"<p>This week brought a busy mix of enforcement, policy, and market-structure developments across the financial services landscape: Read the full update from FiSolve 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-1585","post","type-post","status-publish","format-standard","hentry","category-compliance","category-enforcement","category-international","category-regulatory","category-standard-of-care"],"aioseo_notices":[],"aioseo_head":"\n\t\t<!-- All in One SEO 4.9.8 - 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