AdvisorHub (June 20, 2024) - By Miriam Rozen
Nine months after FINRA began a process to publicly label firms as ‘restricted’ if they or their brokers had a significant history of misconduct, no…
PIABA Newsroom
In the Media
AdvisorHub (May 29, 2024) - By Miriam Rozen
Lawyers are devising workarounds to avoid stricter Financial Industry Regulatory Authority rules governing brokers’ requests to clear client complaints…
Chris Van Hollen Senator for Maryland (May 21, 2024) -
Today, U.S. Senators Chris Van Hollen (D-Md.) and Raphael Warnock (D-Ga.) reintroduced bipartisan legislation to help better protect seniors…
Financial Planning (May 16, 2024) - By Dan Shaw
It has been nearly five years since the SEC's adoption of Regulation Best Interest and four since the conduct standard started being enforced.
What…
MarketWatch (May 1, 2024) - By Alisa Wolfson
Question: I’m 86 years old and have $250,000 in my account and $1 million in investments. But I get nothing from my 401(k) as my account is locked and I…
Financial Planning (May 1, 2024) - By Dan Shaw
For nearly half a year advisors have been living under new FINRA rules that make it harder to scrub erroneous customer complaints from their online…
FinancialPlanning (April 25, 2024) - By Tobias Salinger
Supporters and opponents began weighing in with their reactions about a minute or so after the Labor Department issued the final version of…
Think Advisor (April 25, 2024) - By Allison Bell
Seth Friedman, who once distributed annuities himself, is wondering how the Labor Department’s new final retirement investment fiduciary definition…
Investment Executive (April 24, 2024) - By James Langton
Labor Department finalizes fiduciary rule for retirement advice
The U.S. Department of Labor (DOL) has finalized a controversial rule…
AdvisorHub (April 23, 2024) - By Miriam Rozen
The U.S. Department of Labor on Tuesday said it has finalized a fiduciary rule governing retirement accounts that will close loopholes and widen the…