PIABA Newsroom

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)
COMMENT LETTER: SR-FINRA-2022-024 - FINRA Proposed Rule Change to Amend the Codes of Arbitration Procedure to Modify the Current Process Relating to the Expungement of Customer Dispute Information
COMMENT LETTER: SR-FINRA-2022-021 - Proposed Rule Change to Adopt Supplementary Material .18 (Remote Inspections Pilot Program) under FINRA Rule 3110 (Supervision)
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In the Media

SEC urged to revise strategic plan to address RIA arbitration, threats to senior investors, By Mark Schoeff Jr.
InvestmentNews (October 4, 2022) - Comments from the Chamber of Commerce focused on making enforcement fairer, while organizations disagreed about who should be eligible to participate in private…
FINRA scraps max fines for various financial violations, By Dan Shaw
Financial Planning (September 29, 2022) - FINRA is saying there should be no limit on fines for violations like excessive trading and recommending tailored penalties for individual advisors and small…
FINRA Takes ‘First Step’ to Improve Arbitrator Selection Process, By Melanie Waddell
ThinkAdvisor (September 16, 2022) - The Financial Industry Regulatory Authority is seeking approval from the Securities and Exchange Commission to provide greater transparency and consistency…
PIABA: Ga. Broker’s Conduct Is “Road Map” For Avoiding Arb Awards, By Patrick Donachie
WealthManagement (August 22, 2022) - Did a now-defunct IBD avoid FINRA financial judgements by transferring brokers and clients to another firm? Both PIABA and the FSI are weighing in on a case…