PIABA Newsroom

PIABA COMMENT: FINRA Regulatory Notice 22-09 (May 16, 2022)
COMMENT LETTER: FINRA Regulatory Notice 22-08 - Comment on Sales Practice Obligations for Complex Products and Options (May 9, 2022)
COMMENT LETTER: Compliance Assistance Release No. 2022-01 401(k) Plan Investments in "Cryptocurrencies" (April 26, 2022)
PRESS RELEASE: Leading Consumer and Investor Advocates Urge DOL to Act Expeditiously on Fiduciary Rule Update (March 15, 2022)
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In the Media

PIABA Pushes FINRA For Stronger Complex Product Regs, By Patrick Donachie
Wealth Management (May 11, 2022) - Asset managers and many advisors are waving red flags around FINRA's proposal to craft new rules for "complex products," which could make it harder to invest in…
Ric Edelman: Investor Exams For Complex Products 'Fatally Flawed', By Tracey Longo
Financial Advisor (May 10, 2022) - The Financial Industry Regulatory Authority received more than 750 responses to its complex product request for comment by the time the comment period closed on…
FINRA Wants to Make It Harder for Brokers to Clear Their Records, By Melanie Waddell
ThinkAdvisor (May 4, 2022) - What You Need to Know FINRA is moving ahead on an overhaul of its expungement process. A lawyer for investors says too many expungements are still being granted. A…
Finra Revives Push To Revise Reps' Record Expungement, By Tracey Longo
Financial Advisor (April 29, 2022) - The Financial Industry Regulatory Authority is resurrecting an effort to revise its expungement process, citing a variety of ways its reps push the system to…