PIABA Newsroom

COMMENT LETER: SR-FINRA-2015-040 - Proposed Rule Change to Adopt the Funding Portal Rules and Related Forms and FINRA Rule 4518 (November 18, 2015)
COMMENT LETTER: SR-FINRA-2015-034 - Proposed Rule Change to Merge FINRA Dispute Resolution, Inc. into and with FINRA Regulation, Inc. (November 3, 2015)
PRESS RELEASE: Merging Arbitration Arm Back into FINRA Violates Previous FINRA, SEC Statements About Need for Fairness and Neutrality in the Arbitration Process (November 2, 2015)
COMMENT LETTER: Regarding NASAA’s Proposed Model Legislation Or Regulation To Protect Vulnerable Adults From Financial Exploitation (October 29, 2015)
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In the Media

How 13 firms got caught up in SEC sweep, Ann Marsh
FinancialPlanning (August 26, 2016) -- Thirteen large firms, including AssetMark, a firm run by Charles Goldman, a former member of the board of directors of the CFP Board, are paying the price for…
What FINRA's CEO shuffle reveals about its waning viability as the self-funded fox guarding the investor henhouse, by Natalie Carpenter
RIABiz (August 25, 2016 3:41 pm CDT) -- Brooke’s Note: Will history be kind to Richard Ketchum for the way he spent his seven years as head of FINRA — complete with a lovely oil painting him hung in…
How Do DOL Rules Protect Investor Interests in Cases of Conflicted Investment Advice? by Richard Cox
Nuwire (August 4, 2016) -- Recent trends in securities law have resulted in the establishment of rules by the Department of Labor (DOL) that are designed to protect the interests of investors in…
FINRA considers creation of fund for unpaid arbitration awards, by Ann Marsh
Nasdaq (Financial Planning) (July 20, 2016 8:52 am CDT) -- FINRA's board of governors is privately debating the creation of a relief fund for unpaid arbitration awards, one of its board members…
FINRA considers creation of fund for unpaid arbitration awards, by Ann Marsh
Financial Planning (July 19, 2016 2:51 CDT) -- FINRA's board of governors is privately debating the creation of a relief fund for unpaid arbitration awards, one of its board members confirmed."All I'…
The Unbelievable Story of One Broker and Her Firm Fighting to Clean Her Tarnished Record, Susan Antilla
TheStreet Foundation (July 14, 2016) -- The brokerage industry works hard to keep customer complaints out of public view, with aggressive firms fighting to remove grievances that sully their brokers…
Why broker-dealers and financial advisers should be required to carry insurance, Benjamin P. Edwards
InvestmentNews (June 15, 2016) -- Finra does not require its members to carry insurance, which lets big risks to investors materializeFederal law requires commercial truckers to carry insurance. If a…
New FINRA CEO will face thorny issues and rising criticism, Andrew Welsch
onwallstreet (June 14, 2016 4:06 pm CDT) -- When Robert Cook becomes FINRA's CEO later this year, he'll have to steer the regulator through a bevy of hot button issues and increasingly sharp…
Finra approves larger public arbitrator list for cases, Mark Schoeff Jr.
InvestmentNews (May 9, 2016) -- The board agreed to modest reforms to its arbitration system based on recommendations by a special task force set up to examine itFinra last week made modest reforms…
Final Fiduciary Rule Leaves Door Open to Commissions
FinancialAdvisor IQ (April 7, 2016) -- The Department of Labor’s new fiduciary rule will let FAs advising on retirement investments continue to earn commissions on certain sales as long as they…