PIABA Newsroom

COMMENT LETTER: Roundtable on Combating Elder Investor Fraud (October 2, 2019)
COMMENT LETTER: Concept Release on Harmonization of Securities Offering Exemptions File No. S7-08-19 (September 24, 2019)
COMMENT LETTER: Proposed Amendments to Massachusetts 950 CMR Sections Requiring Broker-dealers, agents, investment advisers and investment adviser representatives be subject to a Fiduciary Duty (July 26, 2019)
New Jersey Consumer Affairs Public Hearing, Statement of Joseph Peiffer regarding Fiduciary Duty of Broker-Dealers, Agents, Investment Advisers, and Investment Advisers Representatives (July 17, 2019)
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In the Media

Dodd, Frank challenge SEC’s Regulation Best Interest, By Lori Tripoli
Compliance Week (January 10, 2020) - Joining forces with a handful of state attorneys general who are seeking to have the Securities and Exchange Commission’s Regulation Best Interest set aside,…
Bill Galvin gets an earful from Wall Street over proposed stricter rules for brokers, By Jon Chesto
The Boston Globe (January 7, 2020) - Secretary of State Bill Galvin’s war with Wall Street moved to a new battleground on Tuesday: a packed State House hearing room. One by one, representatives of…
Proposal On Defunct Brokers Doesn’t Solve Unpaid Awards, Says PIABA, By Tracey Longo
Financial Advisor (January 6, 2020) - Investors may soon be able to bypass arbitration and proceed to court if their broker or brokerage firm leaves the business while an arbitration claim is pending…
Regulators want to make it easier for Americans to buy risky investments, By Greg Iacurci
CNBC (December 20, 2019) -  Key Points The SEC has proposed rules to expand the pool of investors who can buy so-called private funds, which are only available to fairly wealthy consumers. Private…