PIABA Newsroom

PRESS RELEASE - To Protect Retirement Savers, “Major Surgery” Needed To Fix Shortcoming Of SEC “Best Interest Standard” Proposal (August 7, 2018)
REPORT: Recommendations To Improve And Enhance The SEC Best Interest Standard For Investors (August 7, 2018)
COMMENT LETTER: FINRA Rule Amendments Relating to High-Risk Brokers and the Firms That Employ Them (June 28, 2018)
COMMENT LETTER: Proposed Amendments to the Quantitative Suitability Obligation Under FINRA Rule 2111 (June 18, 2018)
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In the Media

Finra: More than a quarter of arbitration awards go unpaid, By Mark Schoeff Jr.
InvestmentNews (February 8, 2018) - Brokerage regulator seeks to involve SEC, Congress in solutions More than a quarter of arbitration awards have gone unpaid in most of the last several years,…
FINRA moves to toughen expungement rules, By Margarida Correia
FinancialPlanning (February 8, 2018) - Brokers are pushing back against proposed FINRA rule changes that will make it much more difficult to erase customer complaints from their regulatory records…
Is California the State Where Crowdfunding Goes to Die? Maybe Not, as Intrastate Legislation Resurfaces, By JD Alois
Crowdfund Insider (January 24, 2018) - California is a state that has attempted to enact intrastate crowdfunding regulations multiple times. Honestly, I have lost count as to how many times bills…
Finra arbitrators award more than $4 million in case against rogue broker, By Mark Schoeff Jr.
InvestmentNews (January 23, 2018) - The settlement would make the harmed investors whole, but can they collect? Finra arbitrators awarded more than $4 million to a group of investors who say a…