PIABA Newsroom

COMMENT LETTER: FINRA Regulatory Notice 2019-36 - Proposed Rule to Limit a Registered Person from Being Named a Customer’s Beneficiary or Holding a Position of Trust for or on Behalf of a Customer (January 10, 2020)
COMMENT LETTER: Massachusetts Fiduciary Duty Proposed Amendments to 950 CMR Sections 12.204, 12.205 & 12.207 (January 7, 2020)
AMICUS BRIEF: XY Planning Network LLC et al vs. SEC Brief of PIABA as Amicus Curiae in Support of Petitioners 2nd Cir Ct of App (January 3 2020)
COMMENT LETTER: SR-FINRA-2019-02 - Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 12000 Series to Expand Options Available to Customers if a Firm or Associated Person is or Becomes Inactive (December 13, 2019)
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In the Media

NASAA Tells Biden Administration to “Pause on the further expansion and deregulation of the private offering marketplace”, By JD Alois
CrowdFund - January 23, 2021 - The North American Securities Administrators Association (NASAA) is distributing a letter sent to the Biden Administration asking the new President to “pause on the…
SEC Proposal to Exempt Finders from Registration Generates Split Reaction, By Jeff Kern, Bochan Kim
The National Law Review (November 24, 2020) -  A Securities and Exchange Commission (“SEC”) plan to create a registration exemption for certain finders has generated a mixed response.  The nearly 90…
New PIABA President Takes Aim At BrokerCheck, SEC 'Finder' Rule, By Tracey Longo
Financial Advisor (November 5, 2020) - David P. Meyer, the new president of the national trade group of lawyers who represent investors in fraud cases, is already advancing an ambitious agenda of pro…
David P. Meyer Selected as President of PIABA, By PRNewswire
PR Newswire (October 27, 2020) - Attorney David P. Meyer has assumed his role as President of the Public Investors Advocate Bar Association (PIABA) for the 2020-2021 term. COLUMBUS, Ohio, Oct. 27,…