PIABA Newsroom

COMMENT LETTER: 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)
REPORT - The PIABA Foundation 2019 Study on FINRA Expungements (October 15, 2019)
PRESS RELEASE - PIABA Foundation Study Warns Out-of-Control FINRA Broker Expungement Process is "Broken" Urges Independent Investor Advocate (October 15, 2019)
COMMENT LETTER: Comment on Rules and Issues Relating to Senior Investors (October 8, 2019)
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In the Media

Retirement Savers Could Be Put At Risk By Proposed Rollover Rule, DOL Warned, By Ted Knutson
Forbes (September 3, 2020) - Retirement savers could be put at risk by a proposed Department of Labor rule on workplace retirement plan rollovers and lump sum distributions, DOL was warned today.…
DoL's fiduciary rule replacement goes too far, and not far enough: Critics, By Kenneth Corbin
Financial Planning (August 7, 2020) - The Labor Department is hearing an earful this week from industry groups, consumer advocates and lawmakers about its new fiduciary proposal. The criticisms are…
With Scammers Targeting Local Seniors During the COVID-19 Pandemic, Rep. Katko Introduces Bipartisan Legislation to Help Victims Recover Financial Losses, By Urban CNY News
Urban CNY (July 26, 2020) - Washington, DC— U.S. Rep. John Katko (R, NY-24) announced introduction of the Edith Shorougian Senior Victims of Fraud Compensation Act, bipartisan legislation that will…
Critics Tell Congress DOL Fiduciary Rule Would Harm Investors, By Tracey Longo
Financial Advisor (July 17, 2020) - Loopholes in the U.S. Department of Labor’s package of fiduciary rules and proposal would expose vulnerable retirement savers to harmful advice, critics of the…