{"id":1617,"date":"2026-07-10T16:30:21","date_gmt":"2026-07-10T16:30:21","guid":{"rendered":"https:\/\/bdia.pli.edu\/?p=1617"},"modified":"2026-08-07T16:39:04","modified_gmt":"2026-08-07T16:39:04","slug":"updates-on-finra-cftc-sec-and-more-from-fisolve","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2026\/07\/10\/updates-on-finra-cftc-sec-and-more-from-fisolve\/","title":{"rendered":"Updates on FINRA, CFTC, SEC and more from FiSolve"},"content":{"rendered":"\n<p class=\"wp-block-paragraph\">From enforcement reform to workforce trends and capital markets modernization, here are this week\u2019s key financial services developments.<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.finra.org\/sites\/default\/files\/2026-06\/Recommendatons-Based-on-Review-of-FINRA-Enforcement-Program.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-86FGSHvBu6WFxZxk5R6BFBx7xAP2kq-3a9Kl30zuCtuljqfko6ZwkmGuw3b6J4JsasOmKX\" target=\"_blank\" rel=\"noopener\" title=\"\">FINRA enforcement review recommends greater transparency and due process<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.federalregister.gov\/documents\/2026\/07\/09\/2026-13919\/anti-money-laundering-and-countering-the-financing-of-terrorism-programs?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-86FGSHvBu6WFxZxk5R6BFBx7xAP2kq-3a9Kl30zuCtuljqfko6ZwkmGuw3b6J4JsasOmKX\" target=\"_blank\" rel=\"noopener\" title=\"\">Federal Reserve proposes updates to bank AML requirements<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/file:\/\/\/C:\/Users\/gohanlon\/Downloads\/ENF_VernonComplaint070726.pdf\" target=\"_blank\" rel=\"noopener\" title=\"\">CFTC pursues a major commodity pool fraud case<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.sec.gov\/newsroom\/meetings-events\/rethinking-rulebook-modernizing-ipo-process-access-public-capital?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-86FGSHvBu6WFxZxk5R6BFBx7xAP2kq-3a9Kl30zuCtuljqfko6ZwkmGuw3b6J4JsasOmKX\" target=\"_blank\" rel=\"noopener\" title=\"\">SEC examines ways to modernize the IPO process<\/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-10-2026\" target=\"_blank\" rel=\"noopener\" title=\"\">here.<\/a><\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><\/p>\n","protected":false},"excerpt":{"rendered":"<p>From enforcement reform to workforce trends and capital markets modernization, here are this week\u2019s key financial services developments. 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":[23,24,21,22],"tags":[],"class_list":["post-1617","post","type-post","status-publish","format-standard","hentry","category-compliance","category-enforcement","category-regulatory","category-standard-of-care"],"aioseo_notices":[],"aioseo_head":"\n\t\t<!-- All in One SEO 5.0.0.1 - aioseo.com -->\n\t<meta name=\"description\" content=\"From enforcement reform to workforce trends and capital markets modernization, here are this week\u2019s key financial services developments. 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Kirsch, Editor\"\/>\n\t<link rel=\"canonical\" href=\"https:\/\/bdia.pli.edu\/index.php\/2026\/07\/10\/updates-on-finra-cftc-sec-and-more-from-fisolve\/\" \/>\n\t<meta name=\"generator\" content=\"All in One SEO (AIOSEO) 5.0.0.1\" \/>\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 FINRA, CFTC, SEC and more from FiSolve | Legal Perspectives on Current Regulatory Developments for BDs and IAs\" \/>\n\t\t<meta property=\"og:description\" content=\"From enforcement reform to workforce trends and capital markets modernization, here are this week\u2019s key financial services developments. FINRA enforcement review recommends greater transparency and due process Federal Reserve proposes updates to bank AML requirements CFTC pursues a major commodity pool fraud case SEC examines ways to modernize the IPO process Read the full update\" \/>\n\t\t<meta property=\"og:url\" content=\"https:\/\/bdia.pli.edu\/index.php\/2026\/07\/10\/updates-on-finra-cftc-sec-and-more-from-fisolve\/\" \/>\n\t\t<meta property=\"article:published_time\" content=\"2026-07-10T16:30:21+00:00\" \/>\n\t\t<meta property=\"article:modified_time\" content=\"2026-08-07T16:39:04+00:00\" \/>\n\t\t<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n\t\t<meta name=\"twitter:title\" content=\"Updates on FINRA, CFTC, SEC and more from FiSolve | Legal Perspectives on Current Regulatory Developments for BDs and IAs\" \/>\n\t\t<meta name=\"twitter:description\" content=\"From enforcement reform to workforce trends and capital markets modernization, here are this week\u2019s key financial services developments. FINRA enforcement review recommends greater transparency and due process Federal Reserve proposes updates to bank AML requirements CFTC pursues a major commodity pool fraud case SEC examines ways to modernize the IPO process Read the full update\" \/>\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\\\/07\\\/10\\\/updates-on-finra-cftc-sec-and-more-from-fisolve\\\/#article\",\"name\":\"Updates on FINRA, CFTC, SEC and more from FiSolve | Legal Perspectives on Current Regulatory Developments for BDs and IAs\",\"headline\":\"Updates on FINRA, CFTC, SEC and more from FiSolve\",\"author\":{\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/author\\\/mshah\\\/#author\"},\"publisher\":{\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/#organization\"},\"datePublished\":\"2026-07-10T16:30:21+00:00\",\"dateModified\":\"2026-08-07T16:39:04+00:00\",\"inLanguage\":\"en-US\",\"mainEntityOfPage\":{\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/2026\\\/07\\\/10\\\/updates-on-finra-cftc-sec-and-more-from-fisolve\\\/#webpage\"},\"isPartOf\":{\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/2026\\\/07\\\/10\\\/updates-on-finra-cftc-sec-and-more-from-fisolve\\\/#webpage\"},\"articleSection\":\"Compliance, Enforcement, Regulatory, Standard of Care\"},{\"@type\":\"BreadcrumbList\",\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/2026\\\/07\\\/10\\\/updates-on-finra-cftc-sec-and-more-from-fisolve\\\/#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\\\/07\\\/10\\\/updates-on-finra-cftc-sec-and-more-from-fisolve\\\/#listItem\",\"name\":\"Updates on FINRA, CFTC, SEC 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\\\/07\\\/10\\\/updates-on-finra-cftc-sec-and-more-from-fisolve\\\/#listItem\",\"position\":3,\"name\":\"Updates on FINRA, CFTC, SEC 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. 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