PIABA Newsroom

COMMENT LETTER: SR-FINRA-2020-038 - Proposed Rule Change to Amend FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities)(November 27, 2020)
COMMENT LETTER: SEC File Number S7-13-20 - Proposed Exemptive Order Granting Conditional Exemption from the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Finders (November 12, 2020)
COMMENT LETTER: SR-FINRA-2020-030; Proposed Rule Change to Modify the Current Process Relating to the Expungement of Customer Dispute Information (October 23, 2020)
Statement of PIABA President Sam Edwards on DOL Fiduciary Rule (September 3, 2020)
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In the Media

FINRA Moves Ahead on Expungement Changes, By Melanie Waddell
ThinkAdvisor (September 25, 2020) - The changes fill holes in the process, but expungement shouldn't be handled by arbitrators at all, investor lawyers say.  The Financial Industry Regulatory…
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…