PIABA Newsroom

COMMENT LETTER: Regulatory Notice 19-17: Request for Comment on Proposed New Rule 4111 (Restricted Firm Obligations) Imposing Additional Obligations on Firms with a Significant History of Misconduct (July 1, 2019)
COMMENT LETTER: Rule Proposal PRN 2019-044, Fiduciary Duty of Broker-Dealers, Agents, Investment Advisers, and Investment Adviser Representatives; Proposed New Rule N.J.A.C. 13:47A-6.4 and Proposed Amendment to N.J.A.C. 13:47A-6.3 (June 14, 2019)
PRESS RELEASE: PIABA: Divided SEC Vote Lowering Investor Advice Protections for Investors "Very Disappointing" (June 5, 2019)
PRESS RELEASE: CFA & PIABA: SEC Chair's Proposal on Investment Advice Should be Renamed "Regulation NBI (Not Best Interest)" (June 4, 2019)
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In the Media

Hybrid Advisors Who Try to Avoid Finra Hearings Should Rethink That Strategy, Lawyers Say, By Miriam Rozen
Financial Advisor IQ (October 30, 2019) - Lawyers are warning against a particular style of venue-shopping more open to hybrid RIAs than any other type of advisory. The vast majority of advisors who…
Finra Advances Proposal To Allow Brokers To Expunge Their Records, By Tracey Longo
Financial Advisor (October 7, 2019) - Finra's board of directors advanced for public comment a proposal that will allow brokers to clear their record of customer disputes. The self-regulatory…
Trump Strongly Opposes House Bill Prohibiting Mandatory Arbitration, By Tracey Longo
Financial Advisor (September 24, 2019) - President Trump “strongly opposes” the newly-passed House bill to prohibit mandatory pre-dispute arbitration agreements and would likely veto such legislation…
Bill Ending Mandatory Arbitration In Advisor, Broker Contracts Clears House, By Tracey Longo
Financial Advisor (September 23, 2019) - The House has passed a bill that would prohibit mandatory arbitration in brokerage and advisor contracts, giving consumer advocates who have been fighting for…