PIABA Newsroom

COMMENT LETTER: Request for Information Regarding the Fiduciary Rule and Prohibited Transaction Exemptions (August 7, 2017)
COMMENT LETTER: Request for Information Regarding the Fiduciary Rule and Prohibited Transaction Exemptions (July 21, 2017)
AMICUS BRIEF: Broyles vs. Commonwealth, Case No. 3:10-CV-854, Amicus Curiae Brief of PIABA in Support of Appellants (July 14, 2017)
COMMENT LETTER: FINRA Regulatory Notice 17-20 – Proposed Amendments to Rules Governing Communications with the Public (June 29, 2017)
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In the Media

SEC Chairman Jay Clayton's quest to forge a fiduciary standard, By Mark Schoeff Jr.
InvestmentNews (November 4, 2017) - The new SEC chairman is confident he can come up with a rule better than that of the Department of Labor — one that satisfies brokers, investment advisers and…
Trump administration seeks to give boost to 401(k) annuities, By Greg Iacurci
InvestmentNews (October 31, 2017) - A Treasury proposal seeks to amend rules for plan sponsors to help them assess the long-term viability of insurance companies The Trump administration wants to…
Will Brokerages Demand Protection From Lawsuits?
Barron's (October 26, 2017) - Consumers won’t be able to sue banks and credit-card companies, thanks to Congress. And some predict they’ll soon be blocked from suing brokerages as well, reports…
Senate's takedown of the CFPB's class-action rule may pave way for challenge to Finra policy
InvestmentNews (October 25, 2017) - Investor advocates fear brokerage firms may seek to overturn Finra's rule banning class-action waivers in customer agreements After the Senate's rejection Tuesday…