PIABA Newsroom

COMMENT LETTER: SR-FINRA-2020-030, Rebuttal Comment (January 29, 2021)
COMMENT LETTER: SR-FINRA-2020-045 - Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) (January 20, 2021)
COMMENT LETTER: SR-FINRA-2020-041 - Proposed Rule Change To Adopt FINRA Rule 4111 (Restricted Firm Obligations) and FINRA Rule 9561 (Procedures for Regulating Activities Under Rule 4111) (December 28, 2021)
PRESS RELEASE: PIABA: “Breakneck” Rush to Undermine Fiduciary Rule in Waning Days of Current Administration Should be Slowed Down Under New White House (December 16, 2020)
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In the Media

20-Year UBS Vet Wins Expungement of YES Option Complaint, By Jake Martin
AdvisorHub (June 1, 2021) - A Financial Industry Regulatory Authority arbitrator granted a 20-year UBS Wealth Management USA broker in South Carolina expungement of a 2019 complaint related to the…
Finra Rethinks Plan To Erase BrokerCheck Client Complaints, Broker Misconduct Information, By Tracey Longo
Financial Advisor (June 1, 2021) - In the face of mounting criticism from investor attorneys, the Financial Industry Regulatory Authority announced Friday it was temporarily withdrawing its plan to…
FINRA Withdraws Rule Creating Expungement Arbitrator Roster, By Melanie Waddel
Think Advisor (May 28, 2021) - The Financial Industry Regulatory Authority said Friday that it is has withdrawn from the Securities and Exchange Commission its rule filing establishing a special…
Finra Shelves Expungement Reform Proposal It Had Slated for SEC Approval, By Miriam Rozen
AdvisorHub (May 28, 2021) - The Financial Industry Regulatory Authority said it withdrew “temporarily” a proposal to reform the procedures to expunge brokers’ public records, which it had before the…