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Upcoming PIABA Events

P IABA Webinar, Only Two Things in Life are Certain: Taxes and Clients' Questions About Taxes, July 31, 2019, 3:00 pm - 4:15 pm Eastern
2019 PIABA Annual Meeting, Barton Creek Resort, Austin, Texas October 22-25, 2019
2020 PIABA Annual Meeting, The Broadmoor, Colorado Springs, Colorado, October 20-23, 2020

PIABA Calendar

Arbitration Committee Conference Call

Tue, 07/16/2019 - 4:00pm - Tue, 07/16/2019 - 5:00pm

RIA Committee Conference Call

Wed, 07/17/2019 - 2:00pm - Wed, 07/17/2019 - 3:00pm

SRO Committee Conference Call

Wed, 07/24/2019 - 1:00pm - Wed, 07/24/2019 - 2:00pm

PIABA News Joined

COMMENT LETTER: Regulatory Notice 19-17: Request for Comment on Proposed New Rule 4111 (Restricted Firm Obligations) Imposing Additional Obligations on Firms with a Significant History of Misconduct (July 1, 2019)

COMMENT LETTER: Rule Proposal PRN 2019-044, Fiduciary Duty of Broker-Dealers, Agents, Investment Advisers, and Investment Adviser Representatives; Proposed New Rule N.J.A.C. 13:47A-6.4 and Proposed Amendment to N.J.A.C. 13:47A-6.3 (June 14, 2019)

SEC Charges Securities Lawyer and Microcap Agent with Fraud

Nomura to Pay Misled Bond Customers $25 Million to Settle SEC Charges

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