PIABA Newsroom

COMMENT LETTER: SR-FINRA-2020-030, Rebuttal Comment
COMMENT LETTER: 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

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…
SEC Proposal to Exempt Finders from Registration Generates Split Reaction, By Jeff Kern, Bochan Kim
The National Law Review (November 24, 2020) -  A Securities and Exchange Commission (“SEC”) plan to create a registration exemption for certain finders has generated a mixed response.  The nearly 90…
New PIABA President Takes Aim At BrokerCheck, SEC 'Finder' Rule, By Tracey Longo
Financial Advisor (November 5, 2020) - David P. Meyer, the new president of the national trade group of lawyers who represent investors in fraud cases, is already advancing an ambitious agenda of pro…