{"id":1633,"date":"2026-10-09T15:58:00","date_gmt":"2026-10-09T15:58:00","guid":{"rendered":"https:\/\/bdia.pli.edu\/?p=1633"},"modified":"2026-10-29T21:00:50","modified_gmt":"2026-10-29T21:00:50","slug":"updates-on-sec-finra-cftc-and-more-from-fisolve-10","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2026\/10\/09\/updates-on-sec-finra-cftc-and-more-from-fisolve-10\/","title":{"rendered":"Updates on SEC, FINRA, CFTC and more from FiSolve"},"content":{"rendered":"\n<p class=\"wp-block-paragraph\">This week&#8217;s theme? Regulators are looking at the big picture. From implied investor &#8220;groups&#8221; to AML red flags that add up, firms are expected to connect the dots before regulators do. Here are five top stories to know, with more where these came from:<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li><strong>SEC warns on Section 13(d) &#8220;groups&#8221;:<\/strong> A Section 21(a) Report tied to the 2021 ExxonMobil proxy contest makes clear that coordinated engagement can form a group, even without a written agreement. That could put Schedule 13G eligibility at risk.<\/li>\n\n\n\n<li><strong>FINRA: patterns matter in AML:<\/strong> An $800,000 penalty and an independent consultant followed missed warning signs in foreign-based small-cap IPO activity.<\/li>\n\n\n\n<li><strong>SEC targets cherry-picking:<\/strong> A new case reinforces advisers&#8217; duty to allocate trades fairly and document it.<\/li>\n\n\n\n<li><strong>New FINRA Rule 3290 on OBAs:<\/strong> Approved by the SEC on September 15, 2026, the rule replaces Rules 3270 and 3280 with a more risk-based framework.<\/li>\n\n\n\n<li><strong>CFTC moves on crypto:<\/strong> An Advanced Notice of Proposed Rulemaking seeks input on a national framework for retail crypto transactions and new &#8220;crypto asset markets.&#8221; Comments are due 60 days after Federal Register publication.<\/li>\n<\/ul>\n\n\n\n<p class=\"wp-block-paragraph\">The bottom line: from investor coordination and AML monitoring to trade allocation, outside business activities, and crypto, regulators expect firms to spot risks early, not after the fact. And there&#8217;s more in this week&#8217;s roundup, including ESMA&#8217;s push to update MiCA, the FCA&#8217;s proposed 90-day notice for illiquid funds, new research on investor literacy, and why Zoom calls are the latest in-flight nuisance.<\/p>\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-october-9-2026\" target=\"_blank\" rel=\"noopener\">here.<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>This week&#8217;s theme? Regulators are looking at the big picture. From implied investor &#8220;groups&#8221; to AML red flags that add up, firms are expected to connect the dots before regulators do. Here are five top stories to know, with more where these came from: The bottom line: from investor coordination and AML monitoring to trade &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2026\/10\/09\/updates-on-sec-finra-cftc-and-more-from-fisolve-10\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">Updates on SEC, FINRA, CFTC and more from FiSolve<\/span> <span class=\"meta-nav\">&rarr;<\/span><\/a><\/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-1633","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 5.0.4 - aioseo.com -->\n\t<meta name=\"description\" content=\"This week&#039;s theme? Regulators are looking at the big picture. From implied investor &quot;groups&quot; to AML red flags that add up, firms are expected to connect the dots before regulators do. Here are five top stories to know, with more where these came from: SEC warns on Section 13(d) &quot;groups&quot;: A Section 21(a) Report tied\" \/>\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\/10\/09\/updates-on-sec-finra-cftc-and-more-from-fisolve-10\/\" \/>\n\t\t<meta name=\"generator\" content=\"All in One SEO (AIOSEO) 5.0.4\" \/>\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, FINRA, 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&#039;s theme? Regulators are looking at the big picture. From implied investor &quot;groups&quot; to AML red flags that add up, firms are expected to connect the dots before regulators do. Here are five top stories to know, with more where these came from: SEC warns on Section 13(d) &quot;groups&quot;: A Section 21(a) Report tied\" \/>\n\t\t<meta property=\"og:url\" content=\"https:\/\/bdia.pli.edu\/index.php\/2026\/10\/09\/updates-on-sec-finra-cftc-and-more-from-fisolve-10\/\" \/>\n\t\t<meta property=\"article:published_time\" content=\"2026-10-09T15:58:00+00:00\" \/>\n\t\t<meta property=\"article:modified_time\" content=\"2026-10-29T21:00:50+00:00\" \/>\n\t\t<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n\t\t<meta name=\"twitter:title\" content=\"Updates on SEC, FINRA, 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&#039;s theme? Regulators are looking at the big picture. From implied investor &quot;groups&quot; to AML red flags that add up, firms are expected to connect the dots before regulators do. 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