{"id":1639,"date":"2026-09-18T09:14:00","date_gmt":"2026-09-18T09:14:00","guid":{"rendered":"https:\/\/bdia.pli.edu\/?p=1639"},"modified":"2026-10-29T21:17:56","modified_gmt":"2026-10-29T21:17:56","slug":"updates-on-sec-cftc-and-more-from-fisolve-2","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2026\/09\/18\/updates-on-sec-cftc-and-more-from-fisolve-2\/","title":{"rendered":"Updates on SEC, CFTC and more from FiSolve"},"content":{"rendered":"\n<p class=\"wp-block-paragraph\">Innovation and accountability went hand in hand this week. Regulators made room for tokenized trading and new crypto business models while sharpening expectations for compliance programs and whistleblower incentives. Here are four highlights, with more to explore in this week&#8217;s roundup:<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li><strong>SEC grants an &#8220;innovation exemption&#8221; for tokenized stocks:<\/strong> A five-year conditional order lets Tokenized Securities Venues trade tokenized NMS stock using automated market makers and liquidity pools. It comes with safeguards like volume limits, equal shareholder rights, and auditable smart contracts, and the SEC is seeking public comment.<\/li>\n\n\n\n<li><strong>SEC risk alert on annual compliance reviews:<\/strong> Examiners found recurring issues with the timeliness of advisers&#8217; reviews, documentation, adherence to their own policies, and follow-through on corrective actions.<\/li>\n\n\n\n<li><strong>CFTC finalizes whistleblower award presumption:<\/strong> Awards of $5 million or less will be presumed at 30 percent, subject to CFTC discretion. The rule is modeled on the SEC&#8217;s Rule 21F-6(c).<\/li>\n\n\n\n<li><strong>FCA maps out its crypto regime:<\/strong> New guidance explains which activities will need authorization, including stablecoin issuance, trading platforms, custody, and staking, ahead of the regime&#8217;s October 25, 2027 start date.<\/li>\n<\/ul>\n\n\n\n<p class=\"wp-block-paragraph\">And there&#8217;s more. Also in this week&#8217;s roundup: the SEC&#8217;s proposal to rescind the IA pay-to-play rule, CISA&#8217;s case for using cyber decoys to catch attackers, and a look at how AI and skills-based hiring are reshaping HR priorities for 2027.  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-september-1-2026\" target=\"_blank\" rel=\"noopener\">here.<\/a><\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Innovation and accountability went hand in hand this week. Regulators made room for tokenized trading and new crypto business models while sharpening expectations for compliance programs and whistleblower incentives. Here are four highlights, with more to explore in this week&#8217;s roundup: And there&#8217;s more. Also in this week&#8217;s roundup: the SEC&#8217;s proposal to rescind the &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2026\/09\/18\/updates-on-sec-cftc-and-more-from-fisolve-2\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">Updates on SEC, 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":[23,24,25,21,22],"tags":[],"class_list":["post-1639","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 5.0.4 - aioseo.com -->\n\t<meta name=\"description\" content=\"Innovation and accountability went hand in hand this week. Regulators made room for tokenized trading and new crypto business models while sharpening expectations for compliance programs and whistleblower incentives. Here are four highlights, with more to explore in this week&#039;s roundup: SEC grants an &quot;innovation exemption&quot; for tokenized stocks: A five-year conditional order lets Tokenized\" \/>\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\/09\/18\/updates-on-sec-cftc-and-more-from-fisolve-2\/\" \/>\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, CFTC and more from FiSolve | Legal Perspectives on Current Regulatory Developments for BDs and IAs\" \/>\n\t\t<meta property=\"og:description\" content=\"Innovation and accountability went hand in hand this week. Regulators made room for tokenized trading and new crypto business models while sharpening expectations for compliance programs and whistleblower incentives. Here are four highlights, with more to explore in this week&#039;s roundup: SEC grants an &quot;innovation exemption&quot; for tokenized stocks: A five-year conditional order lets Tokenized\" \/>\n\t\t<meta property=\"og:url\" content=\"https:\/\/bdia.pli.edu\/index.php\/2026\/09\/18\/updates-on-sec-cftc-and-more-from-fisolve-2\/\" \/>\n\t\t<meta property=\"article:published_time\" content=\"2026-09-18T09:14:00+00:00\" \/>\n\t\t<meta property=\"article:modified_time\" content=\"2026-10-29T21:17:56+00:00\" \/>\n\t\t<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n\t\t<meta name=\"twitter:title\" content=\"Updates on SEC, CFTC and more from FiSolve | Legal Perspectives on Current Regulatory Developments for BDs and IAs\" \/>\n\t\t<meta name=\"twitter:description\" content=\"Innovation and accountability went hand in hand this week. Regulators made room for tokenized trading and new crypto business models while sharpening expectations for compliance programs and whistleblower incentives. 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