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Upcoming PIABA Events

Upcoming Webinars
2021 PIABA Mid-Year Meeting, April 23, 2021
2021 PIABA Annual Meeting, The Ritz Carlton. Amelia Island, Florida, October 26-29, 2021
2022 PIABA Annual Meeting, JW Marriott San Antonio Hill Country, San Antonio, Texas, October 25-28, 2021
2023 PIABA Annual Meeting, The Broadmoor, Colorado Springs, Colorado, October 24-27, 2023

PIABA Calendar

Amicus Committee Conference Call

Thu, 03/04/2021 - 1:00pm - Thu, 03/04/2021 - 2:00pm

RIA Committee Conference Call

Fri, 03/05/2021 - 11:00am - Fri, 03/05/2021 - 12:00pm

SRO Committee Conference Call

Wed, 03/10/2021 - 1:00pm - Wed, 03/10/2021 - 2:00pm

PIABA News

COMMENT LETTER: Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) (January 20, 2021)

COMMENT LETTER: SR-FINRA-2020-041 - Proposed Rule Change To Adopt FINRA Rule 4111 (Restricted Firm Obligations) and FINRA Rule 9561 (Procedures for Regulating Activities Under Rule 4111) (December 28, 2021)

SEC Charges Seven Individuals for $45 Million Fraudulent Scheme

SEC Awards Over $500,000 to Two Whistleblowers

Services

Public Investors Advocate Bar Association | 1225 West Main Street, Suite 126 | Norman, OK 73069 | 1.888.621.7484