{"id":1621,"date":"2026-06-22T15:59:00","date_gmt":"2026-06-22T15:59:00","guid":{"rendered":"https:\/\/bdia.pli.edu\/?p=1621"},"modified":"2026-08-07T17:10:40","modified_gmt":"2026-08-07T17:10:40","slug":"updates-on-finra-sec-cftc-and-more-from-fisolve","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2026\/06\/22\/updates-on-finra-sec-cftc-and-more-from-fisolve\/","title":{"rendered":"Updates on FINRA, SEC, CFTC and more from FiSolve"},"content":{"rendered":"\n<p class=\"wp-block-paragraph\">This week\u2019s roundup highlights key regulatory, enforcement, fintech, AI, and global markets 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\/reid-rudiger-settlement-061726.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz--ZdAsCRgsZNZTxYKiJ4se6nZCm_-sc3vFsjjAGy41fr7YyitI2lbR8IgwQWlF55Ybf5dr1\" target=\"_blank\" rel=\"noopener\" title=\"\">FINRA enforcement action over excessive trading and churning<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.sec.gov\/files\/rules\/other\/2026\/34-105734.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz--ZdAsCRgsZNZTxYKiJ4se6nZCm_-sc3vFsjjAGy41fr7YyitI2lbR8IgwQWlF55Ybf5dr1\" target=\"_blank\" rel=\"noopener\" title=\"\">SEC and CFTC request for input on swap market data reporting frameworks<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.govinfo.gov\/content\/pkg\/FR-2026-06-18\/pdf\/2026-12337.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz--ZdAsCRgsZNZTxYKiJ4se6nZCm_-sc3vFsjjAGy41fr7YyitI2lbR8IgwQWlF55Ybf5dr1\" target=\"_blank\" rel=\"noopener\" title=\"\">CFTC request for information on fintech innovation and competition<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/pitchbook.com\/news\/reports\/q2-2026-the-state-of-consumer-ai?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz--ZdAsCRgsZNZTxYKiJ4se6nZCm_-sc3vFsjjAGy41fr7YyitI2lbR8IgwQWlF55Ybf5dr1\" target=\"_blank\" rel=\"noopener\" title=\"\">PitchBook report on concentration, pricing power, and venture trends in consumer AI<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.esma.europa.eu\/sites\/default\/files\/2026-06\/ESMA22-50751485-1657_2025_Annual_Report.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz--ZdAsCRgsZNZTxYKiJ4se6nZCm_-sc3vFsjjAGy41fr7YyitI2lbR8IgwQWlF55Ybf5dr1\" target=\"_blank\" rel=\"noopener\" title=\"\">ESMA annual report focused on supervision, simplification, and innovation<\/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-june-19-2026\" 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 key regulatory, enforcement, fintech, AI, and global markets 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-1621","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=\"This week\u2019s roundup highlights key regulatory, enforcement, fintech, AI, and global markets developments: FINRA enforcement action over excessive trading and churning SEC and CFTC request for input on swap market data reporting frameworks CFTC request for information on fintech innovation and competition PitchBook report on concentration, pricing power, and venture trends in consumer AI ESMA\" \/>\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\/06\/22\/updates-on-finra-sec-cftc-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, SEC, CFTC and more from FiSolve | Legal Perspectives on Current Regulatory Developments for BDs and IAs\" \/>\n\t\t<meta property=\"og:description\" content=\"This week\u2019s roundup highlights key regulatory, enforcement, fintech, AI, and global markets developments: FINRA enforcement action over excessive trading and churning SEC and CFTC request for input on swap market data reporting frameworks CFTC request for information on fintech innovation and competition PitchBook report on concentration, pricing power, and venture trends in consumer AI ESMA\" \/>\n\t\t<meta property=\"og:url\" content=\"https:\/\/bdia.pli.edu\/index.php\/2026\/06\/22\/updates-on-finra-sec-cftc-and-more-from-fisolve\/\" \/>\n\t\t<meta property=\"article:published_time\" content=\"2026-06-22T15:59:00+00:00\" \/>\n\t\t<meta property=\"article:modified_time\" content=\"2026-08-07T17:10:40+00:00\" \/>\n\t\t<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n\t\t<meta name=\"twitter:title\" content=\"Updates on FINRA, SEC, CFTC and more from FiSolve | Legal Perspectives on Current Regulatory Developments for BDs and IAs\" \/>\n\t\t<meta name=\"twitter:description\" content=\"This week\u2019s roundup highlights key regulatory, enforcement, fintech, AI, and global markets developments: FINRA enforcement action over excessive trading and churning SEC and CFTC request for input on swap market data reporting frameworks CFTC request for information on 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