PIABA Newsroom

COMMENT LETTER: Leading Consumer and Investor Advocates Urge DOL to Act Expeditiously on Fiduciary Rule Update (March 15, 2022)
CONGRESSIONAL LETTER: Warren-Porter Response to FINRA Letter (March 7, 2022)
CONGRESSIONAL LETTER: FINRA Response to Warren-Porter Letter (February 21, 2022)
Statement by Christine Lazaro on Protecting Retirement Savings - The Case for a New DOL Fiduciary Rule (February 14, 2022)
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In the Media

Securities Group OKs Model Rule on Unpaid Arbitration, Judgments, By Alex Padalka
Financial Advisor IQ (May 25, 2022) - The rule makes it unethical or dishonest to fail to pay arbitration awards or monetary penalties ordered by regulators. The North American Securities…
Finra Advances Revised Proposal to Reform Broker Expungement Process, By Miriam Rozen
AdvisorHub (May 24, 2022) - The Financial Industry Regulatory Authority’s board of governors approved on Friday revisions to a previous proposal to initiate “special” arbitration procedures for…
NASAA Approves Model Rule Targeting Unpaid Arbitration Awards, By Patrick Donachie
Wealth Management (May 23, 2022) - President Melanie Senter Lubin said the rule would offer state regulators additional means to take action against registrants that don't pay up. The North American…
Finra Advances Revised Proposal to Reform Broker Expungement Process, By Miriam Rozen
AdvisorHub (May 23, 2022) - The Financial Industry Regulatory Authority’s board of governors approved on Friday revisions to a previous proposal to initiate “special” arbitration procedures for…