PIABA Newsroom

PRESS RELEASE: As Americans Struggle to Save For Retirement, The DOL Offers Little Protection (August 6, 2020) (includes PIABA Comment Letter)
COMMENT LETTER: DOL Application No D12011 Docket ID No EBSA 2020 0003 (August 6, 2020)
COMMENT LETTER: SR-FINRA-2020-020; Proposed Rule Change to Adopt FINRA Rule 3241 (Registered Person Being Named a Customer’s Beneficiary or Holding a Position of Trust for a Customer) (July 30, 2020)
COMMENT LETTER: NASAA Proposed Model Act (July 30, 2020)
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In the Media

Critics Tell Congress DOL Fiduciary Rule Would Harm Investors, By Tracey Longo
Financial Advisor (July 17, 2020) - Loopholes in the U.S. Department of Labor’s package of fiduciary rules and proposal would expose vulnerable retirement savers to harmful advice, critics of the…
NAPFA Wants More Time To Comment On DOL Advise Rule, By Tracey Longo
Financial Advisory (July 9, 2020) - The National Association of Personal Financial Advisors (NAPFA) and a consortium of 20 other pro-consumer groups delivered a letter to the U.S. Department of Labor…
A Modest Proposal On The Appropriate Allocation Of Fees In Expungement Cases, By Christopher Seps
JD Supra ( June 17, 2020) - A couple of years ago, I complained about PIABA’s effort to make expungement even more difficult to obtain. Well, fast forward to June 1, and, as Chris Seps explains here…
FINRA's New Arb Award Rules Merely 'Nibbling' at Bigger Problem: PIABA, By Melanie Waddell
ThinkAdvisor (May 26, 2020) - The amended rules prevent brokers with unpaid arbitration awards from switching firms, but there's a bigger issue, lawyers say.  The Financial Industry Regulatory…