PIABA Newsroom

COMMENT LETTER: SR-FINRA-2022-024 - FINRA Proposed Rule Change to Amend the Codes of Arbitration Procedure to Modify the Current Process Relating to the Expungement of Customer Dispute Information
COMMENT LETTER: SR-FINRA-2022-021 - Proposed Rule Change to Adopt Supplementary Material .18 (Remote Inspections Pilot Program) under FINRA Rule 3110 (Supervision)
COMMENT LETTER: SR-FINRA-2022-019 - Proposed Rule Change to Adopt New Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (August 23, 2022)
COMMENT LETTER: S7-16-22 Names Rule (August 15, 2022)
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In the Media

The golden loophole: How metals sellers avoid regulatory scrutiny, By Andrew Foerch
Citywire RIA (October 13, 2022) -  ‘You have a best interest standard in the brokerage world. You have a fiduciary standard for RIAs. In precious metals, there is no standard.’ As stocks and bonds…
SEC urged to revise strategic plan to address RIA arbitration, threats to senior investors, By Mark Schoeff Jr.
InvestmentNews (October 4, 2022) - Comments from the Chamber of Commerce focused on making enforcement fairer, while organizations disagreed about who should be eligible to participate in private…
FINRA scraps max fines for various financial violations, By Dan Shaw
Financial Planning (September 29, 2022) - FINRA is saying there should be no limit on fines for violations like excessive trading and recommending tailored penalties for individual advisors and small…
FINRA Takes ‘First Step’ to Improve Arbitrator Selection Process, By Melanie Waddell
ThinkAdvisor (September 16, 2022) - The Financial Industry Regulatory Authority is seeking approval from the Securities and Exchange Commission to provide greater transparency and consistency…