PIABA Newsroom

COMMENT LETTER: Proposed Rule Change to Adopt New Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (November 22, 2022)
PRESS RELEASE - Statement of the Incoming President, Hugh D. Berkson (October 27, 2022)
COMMENT LETTER: SEC's Draft Strategic Plan 2022-2026 (September 29, 2022)
COMMENT LETTER - NASAA Statement of Policy Regarding Real Estate Investment Trusts (REITs) (September 12, 2022)
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In the Media

Expungement Rule Proposal Delayed Again As Finra Tightens Reforms, By Miriam Rozen
AdvisorHub (November 11, 2022) - The Financial Industry Regulatory Authority has once again revised and delayed a proposed rule change aimed at tightening the process for brokers to expunge customer…
New PIABA President Looks Toward Investors’ Volatility Concerns, By Patrick Donachie
Wealth Management (November 8, 2022) - In a discussion with WealthManagement.com, Hugh Berkson said the organization will continue to raise awareness of the issue of unpaid arbitration awards and the…
SEC seeks more input on Finra proposal to allow supervision from home offices, By Mark Schoeff Jr.
Investment News (November 2, 2022) - State regulators and PIABA have questioned whether a residential supervisory location would provide appropriate investor protection. Finra is trying to update…
Clients Remain Patient Despite Market Volatility, Brokers and Plaintiff Lawyers Say, By Miriam Rozen
AdvisorHub (October 20, 2022) - Many clients are showing patience, and the onslaught of lawsuits or complaints that often crop up in the aftermath of severe market shocks has not set in despite…