FiSolve Weekly News Digest: January 16, 2026

Here is what we are reading in the news this week...

FINRA Requests Comment on Rule Revisions to Help Member Firms Protect Senior Investors from Financial Exploitation and All Investors from Fraud

FINRA is seeking comment on proposed rule modernization changes to further assist member firms in protecting customers from fraud and financial exploitation.  Specifically, FINRA is proposing use of a “Speed Bump” measure to permit a temporary delay of up to five business days on disbursements or transactions when there is a reasonable belief of fraud.  In addition, FINRA is seeking comment on permitting member firms to use the alternative term “emergency contact” in addition to “trusted contact” to provide additional flexibility for a customer to name a trusted or emergency contact for use across all the customer’s accounts at the member firm.  Read more here.

SEC Director of Investment Management Delivers

Speech on Proxy Voting

Brian Daly, Director of the SEC Division of Investment Management, delivered remarks at the NY City Bar Association emphasizing how proxy voting by registered investment advisers, rooted in the 1988 “Avon Letter” and codified in the SEC’s 2003 rule, has evolved into a near‐universal “vote all proxies” practice that benefits a small oligopoly of proxy advisory firms and often serves as a de facto safe harbor for advisers.  Director Daly noted that while casting proxy votes is a fiduciary duty, failing to vote can be justified when costs outweigh benefits or when proxy voting is outside an adviser’s strategic focus; advisers and clients should have the flexibility to define voting obligations through clear agreements and disclosures.  Director Daly suggested advisers rethink their reliance on proxy advisory recommendations and encouraged the use of innovation, such as giving investors choice on proxy policy and responsibly deploying artificial intelligence tools to analyze proxy materials in alignment with fiduciary duties of transparency, auditability, and consistency.  The recent Presidential Executive Order and related SEC initiatives mark an opportunity to “reset” this system by reviewing adviser practices, proxy advisor regulation, and the role of ESG and DEI considerations in voting.  Read more here.

Future-Ready Finance Talent: Key Trends from the 2026 Financial Executives Priorities Report

The 2026 Financial Executives Priorities Report issued by Forvis Mazars and the Financial Education & Research Foundation, reveals that finance leaders in the financial services industry are prioritizing talent strategies to meet evolving business needs.  Most organizations plan to increase headcount, particularly in roles requiring digital, analytical, and AI-related skills, reflecting the growing impact of technology on finance functions.  64% of respondents said AI and machine learning are the leading technology investment priorities for their firms.  Wage adjustments are expected as firms compete for specialized talent, and there is a strong emphasis on upskilling existing teams to adapt to automation and advanced analytics.  Overall, the survey highlights a shift toward building future-ready finance teams capable of leveraging technology for strategic decision-making.  Read more here.

CFTC Launches Innovation Advisory Committee

Commodity Futures Trading Commission (“CFTC”) Chairman Michael S. Selig today launched the Innovation Advisory Committee (“IAC”) to gather expertise and recommendations on innovation in financial markets.  The IAC was formerly known as the Technology Advisory Committee.  The CFTC said the IAC will include a balance of viewpoints representing the financial industry, regulatory bodies, financial technology providers, public interest groups, academia, and market infrastructure firms.  Read more here.

ESMA Promotes Clarity in Communications

on ESG Strategies

The European Securities and Markets Authority (“ESMA”) published a second thematic note on sustainability-related claims, focusing on ESG strategies.  The note concentrates on ESG integration and ESG exclusions, as references to these strategies are often made by market participants and widely referenced in marketing communications directed to retail investors.  ESMA notes ESG integration and ESG exclusions can mean different things to different market participants.  A lack of transparency when using these terms poses a notable greenwashing risk to investors. The aim of ESMA’s note is not to define these strategies, but to call on market participants to be clear about what they mean when referencing them.  Read more here.

FiSolve Upcoming Webinar:

2026 Compliance: Preparing for ADV Filing Season and

Annual Reviews for Investment Advisers

Join FiSolve for a one-hour webinar focused on Form ADV filing requirements and annual compliance reviews under Rule 206(4)-7 of the Investment Advisers Act of 1940.  Moderated by FiSolve's Founder and CEO, Steven Yadegari, the session will feature insights from FiSolve team members Samantha Bonamassa and Megan Druss.  Together, they will share practical guidance on regulatory expectations, best practices, and key issues to help firms prepare for upcoming 2026 compliance obligations.  There is no cost to attend the webinar.  Register here.

💡FiSolve's Negotiation Tip of the Week💡

Home Court Advantage

Home court advantage in negotiations is real, but it’s more psychological than logistical.  Being in your own office or familiar environment can give you subtle control over the setting, everything from seating arrangements to timing, creating comfort and confidence.  However, this advantage only matters if you leverage it strategically: use the setting to reinforce authority without appearing domineering, and ensure the other party feels respected and at ease. Remember, true power in negotiation comes from preparation and adaptability, not geography; so, while home court can tilt the dynamics slightly in your favor, it’s never a substitute for substance and good old-fashioned preparation!

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