PIABA Newsroom

COMMENT LETTER: SR-FINRA-2023-007 – Proposed Rule Change To Adopt Supplementary Material .18 (Remote Inspections Pilot Program) Under FINRA Rule 3110 (Supervision) (May 24, 2023)
COMMENT LETTER: SR-SEC-S7-04-23 - Proposed Rule Change regarding custody requirements for Registered Investment Advisers (May 7, 2023)
COMMENT LETTER: Nevada Assembly Bill 75 (May 2, 2023)
CONGRESSIONAL LETTER: Pending Bills Before the HFSC set to Expand Access to Private Investments and Unregistered Securities (April 26, 2023)
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In the Media

House Committee Passes Bills Aimed at Expanding ‘Accredited Investor’ Pool, By Alex Padalka
Financial Advisor IQ (April 27, 2023) - The House Financial Services Committee passed several bills making it easier for investors to qualify as “sophisticated” or “accredited” in order to gain…
Finra Seeks to Extend Remote Inspections for Three Years, By Alex Padalka
Financial Advisor IQ (April 14, 2023) - The industry watchdog says it took into account public comments, including criticism from state securities regulators and Piaba. The Financial Industry…
State regulators oppose expungement reform proposal approved by SEC, By Mark Schoeff, Jr.
InvestmentNews (April 14, 2023) - NASAA says Finra's modifications don't do enough to make it harder for brokers to clear customer disputes from their records. State securities regulators continue…
SEC approves Finra expungement reform proposal, By Mark Schoeff, Jr.
InvestmentNews (April 13, 2023) - The measure establishes tighter procedures and a special roster of arbitrators to hear brokers' requests to clear their records of customer disputes. A Finra…