PIABA Newsroom

COMMENT LETTER: Pre-Proposed Amendment N.J.A.C. 13:47A-6.3, Fiduciary Duty (December 14, 2018)
Statement of Christine Lazaro for IAC meeting (December 13, 2018)
COMMENT LETTER: File Nos. S7-08-18; S7-09-18 and S7-07-18; Comments on RAND Corporation’s Testing of Form CRS Relationship Summary
COMMENT LETTER: Proposed Rule Change to Adopt Rule 9910 Post-Employment Conflict of Interest Restrictions; Nonpublic Information (November 28, 2018)
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In the Media

DOL Direction Sought After Fiduciary Rule Nixed By 5th Circ., By Dunstan Prial
Law360 (March 16, 2018) -- A Fifth Circuit ruling vacating the U.S. Department of Labor’s fiduciary rule for retirement account advisers has created confusion across a broad swath of the U.S.…
Speculation mounts on whether others will follow UBS' latest move to prevent brokers from leaving, By Jeff Benjamin
InvestmentNews (February 22, 2018) - UBS Financial Services, which followed Morgan Stanley to become the second wirehouse to exit the broker protocol late last year, has stepped up restrictions on…
New FINRA arbitration award data may help solve longstanding problem, By Ann Marsh
Financial Planning (February 9, 2018) - In what could be a step toward solving its longstanding problem with unpaid arbitration awards, for the first time FINRA has released data about the issue with…
FINRA: Clients May Win Arbitration, But Many Firms Fail to Pay, By Diana Britton
WealthManagement (February 8, 2018) - Up to 30 percent of monetary awards to investors in arbitration claims go unpaid, the self-regulator said. “It’s crystal clear this is and remains a huge problem…