PIABA Newsroom

PRESS RELEASE: CFA & PIABA: SEC Chair's Proposal on Investment Advice Should be Renamed "Regulation NBI (Not Best Interest)" (June 4, 2019)
REPORT: Clayton “BI” Proposal is a Step Backwards That Will Not End Conflicted Advice and Investor Confusion (June 4, 2019)
COMMENT LETTER: Request for Comment on Proposed Rule to Adopt Remaining Legacy NASD and Incorporated NYSE Rules as FINRA Rules (May 6, 2019)
Jay Clayton, Chairman, SEC: Meeting Follow-Up Letter (April 26, 2019)
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In the Media

Merrill Lynch snags a former top FINRA exec: Susan Axelrod, By Kenneth Corbin
FinancialPlanning | OWS (March 29, 2018) -- After nearly 30 years regulating Wall Street firms, Susan Axelrod is about to join one of the biggest brokerages she helped oversee: Merrill Lynch. Axelrod…
Ex-Brokers Ordered to Pay Clients $845,000, By Alex Padalka
Financial Advisor IQ (March 27, 2018) -- A Finra panel has ordered a pair of former brokers to pay back clients $845,000 over losses tied to a multimillion-dollar stock fraud scheme, InvestmentNews…
Finra panel awards firm $780,424 against broker to repay legal costs, By Mark Schoeff Jr.
InvestmentNews (March 27, 2018) -- The question now becomes whether Alliance Affiliated Equities Corp. will be able to collect the arbitration award, a problem investors often face t's not just…
FINRA makes it cheaper to get inside arbitrators’ heads, By Margarida Correia
Financial Planning | BIC (March 22, 2018) -- Parties to a FINRA arbitration will no longer have to pay a $400 fee for an explanation as to why the arbitrators ruled the way they did, according to a…