PIABA Newsroom

COMMENT LETTER: SR-FINRA-2020-030, Rebuttal Comment (January 29, 2021)
COMMENT LETTER: SR-FINRA-2020-045 - 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)
PRESS RELEASE: PIABA: “Breakneck” Rush to Undermine Fiduciary Rule in Waning Days of Current Administration Should be Slowed Down Under New White House (December 16, 2020)
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In the Media

Prehearing Issues Raised by Virtual Hearings of FINRA Arbitrations, By Joel Everest and Josh Jones
JD Supra (March 18, 2021) - The Financial Industry Regulatory Authority (FINRA) has made significant changes to the arbitration process in response to the COVID-19 pandemic. On March 25, 2020, FINRA…
Free to Lose, By John Miller
Dollars & Sense (March/April 2021) - The notion that making financial advisors freer to pursue their own self-interest is what’s best for workers and retirees must have even Adam Smith turning…
Finra Investigating Some Brokers Who Received PPP Loans, By Tracey Longo
Financial Advisor, January 27, 2021 - The Financial Industry Regulatory Authority is investigating some brokers who took forgivable Paycheck Protection Program (PPP) loans and other aid for pandemic…
NASAA Tells Biden Administration to “Pause on the further expansion and deregulation of the private offering marketplace”, By JD Alois
CrowdFund - January 23, 2021 - The North American Securities Administrators Association (NASAA) is distributing a letter sent to the Biden Administration asking the new President to “pause on the…