PIABA Newsroom

COMMENT LETTER: Ohio Regulation 1301:6-3-09 - Registration by Qualification (August 31, 2023)
COMMENT LETTER: SEC 34-97398 – Proposed Rule Change To Adopt Supplementary Material .18 (Remote Inspections Pilot Program) Under FINRA Rule 3110 (Supervision) (August 28, 2023)
COMMENT LETTER: FINRA Regulatory Notice FINRA 23-09; Additional changes to Rules, Operations or Administrative procedures to further promote Capital Formation (August 8, 2023)
COMMENT LETTER: Proposed Rule Change, as Modified by Amendment No. 1, to Adopt Supplementary Material .19 (Residential Supervisory Location) Under FINRA Rule 3110 (Supervision) (July 31, 2023)
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In the Media

The Financial Industry Regulatory Authority Fines and Suspends Former Broker for Violating Reg BI, By James Forsyth
Off Plan Property Exchange (September 19, 2023) - The Financial Industry Regulatory Authority (FINRA) has taken enforcement actions against a former broker for violating Regulation Best Interest (Reg…
Finra Brings Reg BI Case Against Ex-Broker Over Improper Non-Traded REIT Sale, By Karmen Alexander
Advisorhub (September 19, 2023) - The Financial Industry Regulatory Authority continues to bring enforcement actions over violations of the three-year-old Regulation Best Interest rule and this week…
State regulators continue to oppose Finra remote supervision pilot program, By Mark Schoeff Jr.
Investment News (September 14, 2023) - Over nearly three years 'our branch examiners have refined their skills and become very adept at identifying risk remotely,' insists LPL Financial. State…
Finra ‘looks forward’ to defending enforcement authority in court, By Mark Schoeff Jr.
InvestmentNews (August 24, 2023) - A brokerage and a rep, both targets of Finra disciplinary actions, have filed suits questioning the regulator’s constitutionality. A Washington, D.C., federal…