{"id":1619,"date":"2026-07-03T10:39:00","date_gmt":"2026-07-03T10:39:00","guid":{"rendered":"https:\/\/bdia.pli.edu\/?p=1619"},"modified":"2026-08-07T16:59:12","modified_gmt":"2026-08-07T16:59:12","slug":"updates-on-sec-doj-fca-and-more-from-fisolve","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2026\/07\/03\/updates-on-sec-doj-fca-and-more-from-fisolve\/","title":{"rendered":"Updates on SEC, DOJ, FCA and more from FiSolve"},"content":{"rendered":"\n<p class=\"wp-block-paragraph\">This week\u2019s roundup highlights notable developments across securities enforcement, market integrity, data transparency, crypto regulation, ETFs, and investor disclosure. <\/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\/34-105791.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-_GqbHHutePphzCclMKHsLChH5W2oSxXrWCt_vVBTTYVZHiGeDH_pzX1rL3YOkU94FjmZY6\" target=\"_blank\" rel=\"noopener\" title=\"\">SEC sanctions over inaccurate blue sheet trading data<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/file:\/\/\/C:\/Users\/gohanlon\/Downloads\/ENF_Netrios_RedAcreOrder062626.pdf\" target=\"_blank\" rel=\"noopener\" title=\"\">SEC and CFTC penalties for illegal off-exchange transactions<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.sec.gov\/files\/rules\/other\/2026\/33-11426.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-_GqbHHutePphzCclMKHsLChH5W2oSxXrWCt_vVBTTYVZHiGeDH_pzX1rL3YOkU94FjmZY6\" target=\"_blank\" rel=\"noopener\" title=\"\">SEC request for comment on novel ETFs<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.justice.gov\/opa\/pr\/northern-california-man-pleads-guilty-years-long-securities-fraud-spoofing-scheme?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-_GqbHHutePphzCclMKHsLChH5W2oSxXrWCt_vVBTTYVZHiGeDH_pzX1rL3YOkU94FjmZY6\" target=\"_blank\" rel=\"noopener\" title=\"\">DOJ securities spoofing guilty plea<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.federalregister.gov\/documents\/2026\/06\/25\/2026-12787\/financial-data-transparency-act-joint-data-standards?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-_GqbHHutePphzCclMKHsLChH5W2oSxXrWCt_vVBTTYVZHiGeDH_pzX1rL3YOkU94FjmZY6\" target=\"_blank\" rel=\"noopener\" title=\"\">Final FDTA data standards from financial regulators<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.fca.org.uk\/news\/press-releases\/fca-sets-landmark-crypto-rules-cement-uks-place-global-hub?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-_GqbHHutePphzCclMKHsLChH5W2oSxXrWCt_vVBTTYVZHiGeDH_pzX1rL3YOkU94FjmZY6\" target=\"_blank\" rel=\"noopener\" title=\"\">FCA crypto and stablecoin rulemaking<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.fca.org.uk\/news\/press-releases\/financial-regulator-simplify-investment-disclosure-regime?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-_GqbHHutePphzCclMKHsLChH5W2oSxXrWCt_vVBTTYVZHiGeDH_pzX1rL3YOkU94FjmZY6\" target=\"_blank\" rel=\"noopener\" title=\"\">FCA proposal to simplify investment disclosures<\/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-3-2026\" 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\u2019s roundup highlights notable developments across securities enforcement, market integrity, data transparency, crypto regulation, ETFs, and investor disclosure. 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-1619","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 - aioseo.com -->\n\t<meta name=\"description\" content=\"This week\u2019s roundup highlights notable developments across securities enforcement, market integrity, data transparency, crypto regulation, ETFs, and investor disclosure. 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