PIABA Newsroom

COMMENT LETTER: Nevada Assembly Bill 75 (May 2, 2023)
CONGRESSIONAL LETTER: Pending Bills Before the HFSC set to Expand Access to Private Investments and Unregistered Securities (April 26, 2023)
COMMENT LETTER: SR-FINRA-2023-006 - Proposed Rule Change to Adopt Supplementary Material .19 Under FINRA Rule 3110 (April 26, 2023)
AMICUS BRIEF: Robinhood Financial v. William Galvin, Secretary of the Commonwealth, Amicus Brief of PIABA in Support of Defendants, Supreme Judicial Court for the Commonwealth of Massachusetts, No. SJC-13381 (April 10, 2023)
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In the Media

FINRA Makes It Easier for State Regulators to Oppose Expungement, By Patrick Donachie
WealthManagement (August 14, 2023) - The adopted amendments released last week will cut down on alleged abuses in the expungement process, according to a former president of the Public Investors…
Brokers get another month to comment on remote work pilot program, By Dan Shaw
Financial Planning (August 7, 2023) - Brokers are getting at least another month to comment on a proposal that would let them conduct their internal inspections of home and branch offices remotely.…
State regulators, PIABA continue to resist Finra’s plan for remote supervision, By Mark Schoeff Jr.By
InvestmentNews (August 3, 2023) - But LPL Financial, Fidelity back the idea of allowing supervisors to work from home, using technology to oversee reps, as they did during the pandemic. State…
Not All Securities Arbitration Is The Same, By Benjamin P. Edwards
Business Law Prof Blog (July 27, 2023) - Last month, the SEC released a report on Mandatory Arbitration Among SEC-Registered Advisers.  The report tackles a basic dispute resolution problem.  For…