{"id":1608,"date":"2026-07-31T15:15:00","date_gmt":"2026-07-31T15:15:00","guid":{"rendered":"https:\/\/bdia.pli.edu\/?p=1608"},"modified":"2026-08-07T12:50:49","modified_gmt":"2026-08-07T12:50:49","slug":"updates-on-sec-cftc-finra-and-more-from-fisolve-3","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2026\/07\/31\/updates-on-sec-cftc-finra-and-more-from-fisolve-3\/","title":{"rendered":"Updates on SEC, CFTC , FINRA and more from FiSolve"},"content":{"rendered":"\n<p class=\"wp-block-paragraph\">This week\u2019s financial industry news highlights regulatory enforcement actions, evolving market risks, operational challenges, and emerging governance expectations:<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.sec.gov\/files\/litigation\/admin\/2026\/ic-36269.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz--SUrxDXBc6FoPk6zr67rVfCnt4wH_NR40wt6FcFSdyoFhkRJDD6WRWv9HU-qiVPjMs87o6\" target=\"_blank\" rel=\"noopener\" title=\"\">ETF compliance and disclosure failures draw SEC scrutiny<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.wsj.com\/finance\/investing\/the-etf-crazy-train-is-picking-up-speed-99189a11?st=1NpUL1&amp;reflink=desktopwebshare_permalink&amp;utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz--SUrxDXBc6FoPk6zr67rVfCnt4wH_NR40wt6FcFSdyoFhkRJDD6WRWv9HU-qiVPjMs87o6\" target=\"_blank\" rel=\"noopener\" title=\"\">ETF growth fuels concerns over speculation and investor risk<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.doj.state.or.us\/media-home\/news-media-releases\/ag-rayfield-announces-45m-multistate-settlement-in-cash-app-investigation\/?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz--SUrxDXBc6FoPk6zr67rVfCnt4wH_NR40wt6FcFSdyoFhkRJDD6WRWv9HU-qiVPjMs87o6\" target=\"_blank\" rel=\"noopener\" title=\"\">States target digital payments fraud and consumer protection gaps<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/file:\/\/\/C:\/Users\/gohanlon\/Downloads\/ConflictsAndAffiliationsNPRM073026.pdf\" target=\"_blank\" rel=\"noopener\" title=\"\">CFTC proposes new affiliate governance standards<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.sec.gov\/files\/litigation\/admin\/2026\/34-105993.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz--SUrxDXBc6FoPk6zr67rVfCnt4wH_NR40wt6FcFSdyoFhkRJDD6WRWv9HU-qiVPjMs87o6\" target=\"_blank\" rel=\"noopener\" title=\"\">SEC cites broker-dealer net capital violations<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.finra.org\/sites\/default\/files\/fda_documents\/2022075967301%20RBC%20Capital%20Markets%20LLC%20CRD%2031194%20AWC%20lp%20.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz--SUrxDXBc6FoPk6zr67rVfCnt4wH_NR40wt6FcFSdyoFhkRJDD6WRWv9HU-qiVPjMs87o6\" target=\"_blank\" rel=\"noopener\" title=\"\">FINRA penalizes deficient AML monitoring programs<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.fca.org.uk\/news\/blogs\/strengthening-resilience-across-increasingly-interconnected-financial-system?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz--SUrxDXBc6FoPk6zr67rVfCnt4wH_NR40wt6FcFSdyoFhkRJDD6WRWv9HU-qiVPjMs87o6\" target=\"_blank\" rel=\"noopener\" title=\"\">FCA emphasizes resilience across interconnected financial networks<\/a><\/li>\n<\/ul>\n\n\n\n<p class=\"wp-block-paragraph\">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-july-31-2026\" target=\"_blank\" rel=\"noopener\" title=\"\">here.<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>This week\u2019s financial industry news highlights regulatory enforcement actions, evolving market risks, operational challenges, and emerging governance expectations: 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-1608","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 5.0.0.1 - 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