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, As Modified by Amendment No. 1 (December 7, 2022)
COMMENT LETTER: SR-FINRA-2022-021 - Proposed Rule Change to Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt Supplementary Material .18 (Remote Inspections Pilot Program) Under FINRA Rule 3110 (December 7, 2022)
COMMENT LETTER: Proposed Rule Change to Adopt New Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (November 22, 2022)
PRESS RELEASE - Statement of the Incoming President, Hugh D. Berkson (October 27, 2022)
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In the Media

Plaintiff Lawyers Welcome Finra’s Proposal But Want More Arbitration Transparency by Miriam Rozen
AdvisorHub (January 11, 2023) - The Financial Industry Regulatory Authority’s proposal to tweak its arbitrator-selection procedures, making them more transparent, represents welcome progress,…
Finra Moves to Make Arbitrator Selection Process More Transparent, By Tracey Longo
Financial Advisor (January 5, 2023) -  To further weed out potential conflicts of interest and provide greater transparency into why certain arbitrators are removed from arbitrators selection lists…
Finra Tweaks Remote Inspection Proposal to Pacify Critics, By Miriam Rozen
AdvisorHub (December 19, 2022) - The Financial Industry Regulatory Authority, in an attempt to address criticisms from state regulators and investor advocates, among others, has amended its proposal…
Advisor Group firms to pay GPB investors restitution for 7% commissions, By Tobias Salinger
Financial Planning (December 6, 2022) - Four of Advisor Group's brokerages settled FINRA charges that the firms negligently sold clients $16 million worth of alternative investments without informing…