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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

SRO Committee Conference Call

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

Wed, 07/31/2019 - 2:00pm - Wed, 07/31/2019 - 3:15pm

Membership Committee Conference Call

Thu, 08/08/2019 - 2:00pm - Thu, 08/08/2019 - 3:00pm

PIABA News Joined

New Jersey Consumer Affairs Public Hearing, Statement of Joseph Peiffer regarding Fiduciary Duty of Broker-Dealers, Agents, Investment Advisers, and Investment Advisers Representatives (July 17, 2019)

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)

SEC Obtains Asset Freeze in Microcap Pump and Dump Scheme Targeting Elderly Retail Investors

Former REIT Manager and Executives to Settle SEC Charges for More Than $60 Million

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