FiSolve Weekly News Digest: November 14, 2025

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

Federal Government Shutdown Ends

On Wednesday, President Donald J. Trump signed legislation ending the longest government shutdown in U.S. history, hours after the House of Representatives voted to restart disrupted food assistance, pay hundreds of thousands of federal workers and revive a hobbled air-traffic control system.  The legislation provides a continuing resolution to fund the federal government through January 30, 2026.  Read more here.

SEC’s Division of Corporation Finance Issues Guidance Following the Shutdown

The SEC’s Division of Corporation Finance issued guidance noting issuers filed over 900 registration statements during the government shutdown.  The Division announced its Staff is working expeditiously to clear the backlog of filings.  In an effort to provide transparency to issuers with pending filings, the Division Staff published a set of questions and answers designed to address many of the questions with respect to pending filings with the SEC.  Read more here.

3 in 10 Companies Plan to

Replace Employees with AI in 2026

Based on a survey of 1,250 business leaders conducted by AIResumeBuilder.com, one in five companies say AI replaced jobs in 2025, with three in ten companies planning to replace employees with AI in 2026.  The survey found administrative and customer service roles are most at risk of automation and workers with AI skills are less likely to be laid off.  Financial services firms are among the industries most likely to have AI-related layoffs according to the study.  Read more here.

FINRA Fines and Suspends Broker for Borrowing Money from Customers without Prior Approval

In a settlement announced this week, FINRA suspended a licensed representative for 22 months in all capacities and fined him $17,500 for borrowing $50,000 from two customers without seeking or obtaining prior written approval from his firm.  These actions violated FINRA Rules 3240 and 2010.   FINRA also noted violations of FINRA Rules 8210 and 2010 as the representative initially providing false, misleading, and incomplete responses to FINRA about the loans.  The action also notes violations of FINRA Rules 3210 and 2010 by partially funding and effecting trades in three securities accounts at another member firm without obtaining prior written consent from his firm.  Read more here.

FCA Announces Partnership with Singapore

to Drive Growth and AI Innovation

Announced at the recent Singapore Fintech Festival, the Financial Conduct Authority announced a new partnership with the Monetary Authority of Singapore designed to support safe and responsible AI innovation.  The FCA stated this will enable innovative firms in the UK and Singapore to scale and operate across markets more effectively.  A key element of the partnership will be the joint testing of AI solutions, exchange of regulatory insights, and collaborative events to spotlight best-in-class approaches.  Read more here.

WSJ Report: Proxy Advisers ISS and Glass Lewis

are Facing Antitrust Probes

The Wall Street Journal is reporting that the Federal Trade Commission is investigating whether proxy advisory firms Institutional Shareholder Services and Glass Lewis violated antitrust laws through their business of guiding shareholder votes on contentious topics.  According to the article, the probe, which is in its early stages, is focused on the firms’ competitive practices and how they steer clients on contentious issues such as climate- and social-related shareholder proposals.  Read more here. 

FiSolve to Host Next Compliance Anonymous Session

FiSolve will be hosting its next Compliance Anonymous Session at 12 PM ET on December 3, 2025.  This is a forum open to all compliance professionals to join and share their compliance challenges, issues and conundrums in an anonymous fashion.  Participants can share reactions and perspective, and FiSolve professionals will also be on hand to provide thoughts.  There is no cost to attend but registration is required.  Please join us by registering here.

‼️FiSolve's Negotiation Tip of the Week‼️

Power Dynamics

When negotiating at an executive level, power dynamics often hinge on perceived alternatives and authority rather than just the numbers on the table.  A key tip is to anchor your position by signaling strength through credible options—make it clear you have viable alternatives without appearing dismissive to the other party. This shifts the dynamic from dependency to choice, reinforcing your leverage.  At the same time, maintain a collaborative tone; overt displays of dominance can trigger resistance, while subtle confidence backed by data and strategic concessions fosters respect and influence.  The goal is to project strength, while keeping the door open for mutual gain.

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