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

Advisors Could 'Skirt the Rules' Under FINRA Home Office Plan: PIABA, By Melanie Waddell
ThinkAdvisor (December 2, 2022) - The Public Investors Advocate Bar Association says the Financial Industry Regulatory Authority’s plan to allow a home office to be considered a non-branch “…
Investor Advocate Slams Finra’s Proposed Rule on Residential Offices, By Alex Padalka
Financial Advisor IQ (November 30, 2022) - The Public Investors Advocate Bar Association contends that a proposal to classify home offices as non-branch locations “leaves considerable opportunity for…
FINRA: Firms Should Look Out for 'Red Flags' in Options Trading Applications, By Patrick Donachie
Wealth Management (November 30, 2022) - The regulatory agency released an update Wednesday on its targeted sweep of firms’ supervision of options recommendations, launched in August 2021, offering…
PIABA: FINRA Rules on Residential Offices 'Fundamentally Flawed', By Patrick Donachie
Wealth Management (November 28, 2022) - The proposed rule would make remote examinations of the residential offices a permanent part of FINRA's process, but PIABA President Hugh Berkson warns it…