{"id":1586,"date":"2026-05-10T19:03:00","date_gmt":"2026-05-10T19:03:00","guid":{"rendered":"https:\/\/bdia.pli.edu\/?p=1586"},"modified":"2026-06-09T12:17:36","modified_gmt":"2026-06-09T12:17:36","slug":"updates-on-sec-cftc-finra-and-more-from-fisolve-2","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2026\/05\/10\/updates-on-sec-cftc-finra-and-more-from-fisolve-2\/","title":{"rendered":"Updates on SEC, CFTC,  FINRA, and more from FiSolve"},"content":{"rendered":"\n<p class=\"wp-block-paragraph\">This week brought a sharp reminder that regulators remain focused on market integrity, supervision, and structural change.<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.sec.gov\/files\/litigation\/complaints\/2026\/comp-pr2026-44.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz--qtl4GV5TrcLeJZk9UUgZl_j3t5tT7HZBDybFN1jw9nPXnxrJis7ZqAmioUM0nEj1vH5hG\" target=\"_blank\" rel=\"noopener\" title=\"\">The SEC filed sweeping insider trading charges tied to alleged misuse of confidential deal information<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/file:\/\/\/C:\/Users\/gohanlon\/Downloads\/ENFLebentalOrder050126.pdf\" target=\"_blank\" rel=\"noopener\" title=\"\">The CFTC imposed penalties in a spoofing case involving Treasury futures<\/a> <\/li>\n\n\n\n<li><a href=\"https:\/\/www.wsj.com\/finance\/banking\/morgan-stanleys-investment-banking-program-in-budapest-hit-by-u-s-probe-72e03e93?st=D8kwwY&amp;reflink=desktopwebshare_permalink&amp;utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz--qtl4GV5TrcLeJZk9UUgZl_j3t5tT7HZBDybFN1jw9nPXnxrJis7ZqAmioUM0nEj1vH5hG\" target=\"_blank\" rel=\"noopener\" title=\"\">FINRA also reportedly opened an investigation into whether junior banking staff in Budapest worked on regulated matters without proper licensing or supervision <\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.sec.gov\/newsroom\/speeches-statements\/atkins-042826-remarks-small-business-capital-formation-advisory-committee-meeting?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz--qtl4GV5TrcLeJZk9UUgZl_j3t5tT7HZBDybFN1jw9nPXnxrJis7ZqAmioUM0nEj1vH5hG\" target=\"_blank\" rel=\"noopener\" title=\"\">SEC Chairman Paul Atkins signaled continued interest in reviving the IPO market <\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.esma.europa.eu\/sites\/default\/files\/2026-05\/ESMA35-915049491-6291_Statement_on_the_CSA_on_MiFID_II_sustainability_aspects.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz--qtl4GV5TrcLeJZk9UUgZl_j3t5tT7HZBDybFN1jw9nPXnxrJis7ZqAmioUM0nEj1vH5hG\" target=\"_blank\" rel=\"noopener\" title=\"\">ESMA urged firms to keep advancing MiFID II sustainability compliance as the broader framework evolves<\/a> <\/li>\n<\/ul>\n\n\n\n<p class=\"wp-block-paragraph\">Taken together, the week\u2019s developments reflect a regulatory environment that remains active on both enforcement and reform.  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-8-2026\" target=\"_blank\" rel=\"noopener\" title=\"\">here<\/a>.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><\/p>\n","protected":false},"excerpt":{"rendered":"<p>This week brought a sharp reminder that regulators remain focused on market integrity, supervision, and structural change. Taken together, the week\u2019s developments reflect a regulatory environment that remains active on both enforcement and reform. 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,"footnotes":""},"categories":[23,24,25,21,22],"tags":[],"class_list":["post-1586","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 4.9.10 - aioseo.com -->\n\t<meta name=\"description\" content=\"This week brought a sharp reminder that regulators remain focused on market integrity, supervision, and structural change. The SEC filed sweeping insider trading charges tied to alleged misuse of confidential deal information The CFTC imposed penalties in a spoofing case involving Treasury futures FINRA also reportedly opened an investigation into whether junior banking staff in\" \/>\n\t<meta name=\"robots\" content=\"max-image-preview:large\" \/>\n\t<meta name=\"author\" content=\"Clifford E. Kirsch, Editor\"\/>\n\t<link rel=\"canonical\" href=\"https:\/\/bdia.pli.edu\/index.php\/2026\/05\/10\/updates-on-sec-cftc-finra-and-more-from-fisolve-2\/\" \/>\n\t<meta name=\"generator\" content=\"All in One SEO (AIOSEO) 4.9.10\" \/>\n\t\t<meta property=\"og:locale\" content=\"en_US\" \/>\n\t\t<meta property=\"og:site_name\" content=\"Legal Perspectives on Current Regulatory Developments for BDs and IAs |\" \/>\n\t\t<meta property=\"og:type\" content=\"article\" \/>\n\t\t<meta property=\"og:title\" content=\"Updates on SEC, CFTC, FINRA, and more from FiSolve | Legal Perspectives on Current Regulatory Developments for BDs and IAs\" \/>\n\t\t<meta property=\"og:description\" content=\"This week brought a sharp reminder that regulators remain focused on market integrity, supervision, and structural change. The SEC filed sweeping insider trading charges tied to alleged misuse of confidential deal information The CFTC imposed penalties in a spoofing case involving Treasury futures FINRA also reportedly opened an investigation into whether junior banking staff in\" \/>\n\t\t<meta property=\"og:url\" content=\"https:\/\/bdia.pli.edu\/index.php\/2026\/05\/10\/updates-on-sec-cftc-finra-and-more-from-fisolve-2\/\" \/>\n\t\t<meta property=\"article:published_time\" content=\"2026-05-10T19:03:00+00:00\" \/>\n\t\t<meta property=\"article:modified_time\" content=\"2026-06-09T12:17:36+00:00\" \/>\n\t\t<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n\t\t<meta name=\"twitter:title\" content=\"Updates on SEC, CFTC, FINRA, and more from FiSolve | Legal Perspectives on Current Regulatory Developments for BDs and IAs\" \/>\n\t\t<meta name=\"twitter:description\" content=\"This week brought a sharp reminder that regulators remain focused on market integrity, supervision, and structural change. The SEC filed sweeping insider trading charges tied to alleged misuse of confidential deal information The CFTC imposed penalties in a spoofing case involving Treasury futures FINRA also reportedly opened an investigation into whether junior banking staff in\" \/>\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\\\/05\\\/10\\\/updates-on-sec-cftc-finra-and-more-from-fisolve-2\\\/#article\",\"name\":\"Updates on SEC, CFTC, FINRA, and more from FiSolve | Legal Perspectives on Current Regulatory Developments for BDs and IAs\",\"headline\":\"Updates on SEC, CFTC,  FINRA, and more from FiSolve\",\"author\":{\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/author\\\/mshah\\\/#author\"},\"publisher\":{\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/#organization\"},\"datePublished\":\"2026-05-10T19:03:00+00:00\",\"dateModified\":\"2026-06-09T12:17:36+00:00\",\"inLanguage\":\"en-US\",\"mainEntityOfPage\":{\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/2026\\\/05\\\/10\\\/updates-on-sec-cftc-finra-and-more-from-fisolve-2\\\/#webpage\"},\"isPartOf\":{\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/2026\\\/05\\\/10\\\/updates-on-sec-cftc-finra-and-more-from-fisolve-2\\\/#webpage\"},\"articleSection\":\"Compliance, Enforcement, International, Regulatory, Standard of Care\"},{\"@type\":\"BreadcrumbList\",\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/2026\\\/05\\\/10\\\/updates-on-sec-cftc-finra-and-more-from-fisolve-2\\\/#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\\\/05\\\/10\\\/updates-on-sec-cftc-finra-and-more-from-fisolve-2\\\/#listItem\",\"name\":\"Updates on SEC, CFTC,  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\\\/05\\\/10\\\/updates-on-sec-cftc-finra-and-more-from-fisolve-2\\\/#listItem\",\"position\":3,\"name\":\"Updates on SEC, CFTC,  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. Kirsch, Editor\",\"image\":{\"@type\":\"ImageObject\",\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/2026\\\/05\\\/10\\\/updates-on-sec-cftc-finra-and-more-from-fisolve-2\\\/#authorImage\",\"url\":\"https:\\\/\\\/secure.gravatar.com\\\/avatar\\\/d5c5c98ac1850fefdd198bc19bd5322f72559e8115a14058a24623c6afe0eb9c?s=96&d=mm&r=g\",\"width\":96,\"height\":96,\"caption\":\"Clifford E. Kirsch, Editor\"}},{\"@type\":\"WebPage\",\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/2026\\\/05\\\/10\\\/updates-on-sec-cftc-finra-and-more-from-fisolve-2\\\/#webpage\",\"url\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/2026\\\/05\\\/10\\\/updates-on-sec-cftc-finra-and-more-from-fisolve-2\\\/\",\"name\":\"Updates on SEC, CFTC, FINRA, and more from FiSolve | Legal Perspectives on Current Regulatory Developments for BDs and IAs\",\"description\":\"This week brought a sharp reminder that regulators remain focused on market integrity, supervision, and structural change. The SEC filed sweeping insider trading charges tied to alleged misuse of confidential deal information The CFTC imposed penalties in a spoofing case involving Treasury futures FINRA also reportedly opened an investigation into whether junior banking staff in\",\"inLanguage\":\"en-US\",\"isPartOf\":{\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/#website\"},\"breadcrumb\":{\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/2026\\\/05\\\/10\\\/updates-on-sec-cftc-finra-and-more-from-fisolve-2\\\/#breadcrumblist\"},\"author\":{\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/author\\\/mshah\\\/#author\"},\"creator\":{\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/author\\\/mshah\\\/#author\"},\"datePublished\":\"2026-05-10T19:03:00+00:00\",\"dateModified\":\"2026-06-09T12:17:36+00:00\"},{\"@type\":\"WebSite\",\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/#website\",\"url\":\"https:\\\/\\\/bdia.pli.edu\\\/\",\"name\":\"Legal Perspectives on Current Regulatory Developments for BDs and IAs\",\"inLanguage\":\"en-US\",\"publisher\":{\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/#organization\"}}]}\n\t\t<\/script>\n\t\t<!-- All in One SEO -->\n\n","aioseo_head_json":{"title":"Updates on SEC, CFTC, FINRA, and more from FiSolve | Legal Perspectives on Current Regulatory Developments for BDs and IAs","description":"This week brought a sharp reminder that regulators remain focused on market integrity, supervision, and structural change. The SEC filed sweeping insider trading charges tied to alleged misuse of confidential deal information The CFTC imposed penalties in a spoofing case involving Treasury futures FINRA also reportedly opened an investigation into whether junior banking staff in","canonical_url":"https:\/\/bdia.pli.edu\/index.php\/2026\/05\/10\/updates-on-sec-cftc-finra-and-more-from-fisolve-2\/","robots":"max-image-preview:large","keywords":"","webmasterTools":{"miscellaneous":""},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/bdia.pli.edu\/index.php\/2026\/05\/10\/updates-on-sec-cftc-finra-and-more-from-fisolve-2\/#article","name":"Updates on SEC, CFTC, FINRA, and more from FiSolve | Legal Perspectives on Current Regulatory Developments for BDs and IAs","headline":"Updates on SEC, CFTC,  FINRA, and more from FiSolve","author":{"@id":"https:\/\/bdia.pli.edu\/index.php\/author\/mshah\/#author"},"publisher":{"@id":"https:\/\/bdia.pli.edu\/#organization"},"datePublished":"2026-05-10T19:03:00+00:00","dateModified":"2026-06-09T12:17:36+00:00","inLanguage":"en-US","mainEntityOfPage":{"@id":"https:\/\/bdia.pli.edu\/index.php\/2026\/05\/10\/updates-on-sec-cftc-finra-and-more-from-fisolve-2\/#webpage"},"isPartOf":{"@id":"https:\/\/bdia.pli.edu\/index.php\/2026\/05\/10\/updates-on-sec-cftc-finra-and-more-from-fisolve-2\/#webpage"},"articleSection":"Compliance, Enforcement, International, Regulatory, Standard of Care"},{"@type":"BreadcrumbList","@id":"https:\/\/bdia.pli.edu\/index.php\/2026\/05\/10\/updates-on-sec-cftc-finra-and-more-from-fisolve-2\/#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\/05\/10\/updates-on-sec-cftc-finra-and-more-from-fisolve-2\/#listItem","name":"Updates on SEC, CFTC,  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\/05\/10\/updates-on-sec-cftc-finra-and-more-from-fisolve-2\/#listItem","position":3,"name":"Updates on SEC, CFTC,  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. Kirsch, Editor","image":{"@type":"ImageObject","@id":"https:\/\/bdia.pli.edu\/index.php\/2026\/05\/10\/updates-on-sec-cftc-finra-and-more-from-fisolve-2\/#authorImage","url":"https:\/\/secure.gravatar.com\/avatar\/d5c5c98ac1850fefdd198bc19bd5322f72559e8115a14058a24623c6afe0eb9c?s=96&d=mm&r=g","width":96,"height":96,"caption":"Clifford E. Kirsch, Editor"}},{"@type":"WebPage","@id":"https:\/\/bdia.pli.edu\/index.php\/2026\/05\/10\/updates-on-sec-cftc-finra-and-more-from-fisolve-2\/#webpage","url":"https:\/\/bdia.pli.edu\/index.php\/2026\/05\/10\/updates-on-sec-cftc-finra-and-more-from-fisolve-2\/","name":"Updates on SEC, CFTC, FINRA, and more from FiSolve | Legal Perspectives on Current Regulatory Developments for BDs and IAs","description":"This week brought a sharp reminder that regulators remain focused on market integrity, supervision, and structural change. The SEC filed sweeping insider trading charges tied to alleged misuse of confidential deal information The CFTC imposed penalties in a spoofing case involving Treasury futures FINRA also reportedly opened an investigation into whether junior banking staff in","inLanguage":"en-US","isPartOf":{"@id":"https:\/\/bdia.pli.edu\/#website"},"breadcrumb":{"@id":"https:\/\/bdia.pli.edu\/index.php\/2026\/05\/10\/updates-on-sec-cftc-finra-and-more-from-fisolve-2\/#breadcrumblist"},"author":{"@id":"https:\/\/bdia.pli.edu\/index.php\/author\/mshah\/#author"},"creator":{"@id":"https:\/\/bdia.pli.edu\/index.php\/author\/mshah\/#author"},"datePublished":"2026-05-10T19:03:00+00:00","dateModified":"2026-06-09T12:17:36+00:00"},{"@type":"WebSite","@id":"https:\/\/bdia.pli.edu\/#website","url":"https:\/\/bdia.pli.edu\/","name":"Legal Perspectives on Current Regulatory Developments for BDs and IAs","inLanguage":"en-US","publisher":{"@id":"https:\/\/bdia.pli.edu\/#organization"}}]},"og:locale":"en_US","og:site_name":"Legal Perspectives on Current Regulatory Developments for BDs and IAs |","og:type":"article","og:title":"Updates on SEC, CFTC, FINRA, and more from FiSolve | Legal Perspectives on Current Regulatory Developments for BDs and IAs","og:description":"This week brought a sharp reminder that regulators remain focused on market integrity, supervision, and structural change. The SEC filed sweeping insider trading charges tied to alleged misuse of confidential deal information The CFTC imposed penalties in a spoofing case involving Treasury futures FINRA also reportedly opened an investigation into whether junior banking staff in","og:url":"https:\/\/bdia.pli.edu\/index.php\/2026\/05\/10\/updates-on-sec-cftc-finra-and-more-from-fisolve-2\/","article:published_time":"2026-05-10T19:03:00+00:00","article:modified_time":"2026-06-09T12:17:36+00:00","twitter:card":"summary_large_image","twitter:title":"Updates on SEC, CFTC, FINRA, and more from FiSolve | Legal Perspectives on Current Regulatory Developments for BDs and IAs","twitter:description":"This week brought a sharp reminder that regulators remain focused on market integrity, supervision, and structural change. The SEC filed sweeping insider trading charges tied to alleged misuse of confidential deal information The CFTC imposed penalties in a spoofing case involving Treasury futures FINRA also reportedly opened an investigation into whether junior banking staff in"},"aioseo_meta_data":{"post_id":"1586","title":null,"description":null,"keywords":null,"keyphrases":{"focus":{"keyphrase":"","score":0,"analysis":{"keyphraseInTitle":{"score":0,"maxScore":9,"error":1}}},"additional":[]},"primary_term":null,"canonical_url":null,"og_title":null,"og_description":null,"og_object_type":"default","og_image_type":"default","og_image_url":null,"og_image_width":null,"og_image_height":null,"og_image_custom_url":null,"og_image_custom_fields":null,"og_video":"","og_custom_url":null,"og_article_section":null,"og_article_tags":null,"twitter_use_og":false,"twitter_card":"default","twitter_image_type":"default","twitter_image_url":null,"twitter_image_custom_url":null,"twitter_image_custom_fields":null,"twitter_title":null,"twitter_description":null,"schema":{"blockGraphs":[],"customGraphs":[],"default":{"data":{"Article":[],"Course":[],"Dataset":[],"FAQPage":[],"Movie":[],"Person":[],"Product":[],"ProductReview":[],"Car":[],"Recipe":[],"Service":[],"SoftwareApplication":[],"WebPage":[]},"graphName":"Article","isEnabled":true},"graphs":[]},"schema_type":"default","schema_type_options":null,"pillar_content":false,"robots_default":true,"robots_noindex":false,"robots_noarchive":false,"robots_nosnippet":false,"robots_nofollow":false,"robots_noimageindex":false,"robots_noodp":false,"robots_notranslate":false,"robots_max_snippet":"-1","robots_max_videopreview":"-1","robots_max_imagepreview":"large","priority":null,"frequency":"default","local_seo":null,"breadcrumb_settings":null,"limit_modified_date":false,"ai":{"faqs":[],"keyPoints":[],"schemas":[],"titles":[],"descriptions":[],"socialPosts":{"email":[],"linkedin":[],"twitter":[],"facebook":[],"instagram":[]}},"created":"2026-06-09 12:03:54","updated":"2026-06-09 12:39:55","seo_analyzer_scan_date":null},"aioseo_breadcrumb":"<div class=\"aioseo-breadcrumbs\"><span class=\"aioseo-breadcrumb\">\n\t\t\t<a href=\"https:\/\/bdia.pli.edu\" title=\"Home\">Home<\/a>\n\t\t<\/span><span class=\"aioseo-breadcrumb-separator\">&raquo;<\/span><span class=\"aioseo-breadcrumb\">\n\t\t\t<a href=\"https:\/\/bdia.pli.edu\/index.php\/category\/compliance\/\" title=\"Compliance\">Compliance<\/a>\n\t\t<\/span><span class=\"aioseo-breadcrumb-separator\">&raquo;<\/span><span class=\"aioseo-breadcrumb\">\n\t\t\tUpdates on SEC, CFTC,  FINRA, and more from FiSolve\n\t\t<\/span><\/div>","aioseo_breadcrumb_json":[{"label":"Home","link":"https:\/\/bdia.pli.edu"},{"label":"Compliance","link":"https:\/\/bdia.pli.edu\/index.php\/category\/compliance\/"},{"label":"Updates on SEC, CFTC,  FINRA, and more from FiSolve","link":"https:\/\/bdia.pli.edu\/index.php\/2026\/05\/10\/updates-on-sec-cftc-finra-and-more-from-fisolve-2\/"}],"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1586","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=1586"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1586\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=1586"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=1586"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=1586"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}