PIABA Newsroom

COMMENT LETTER: Regulatory Notice 19-17: Request for Comment on Proposed New Rule 4111 (Restricted Firm Obligations) Imposing Additional Obligations on Firms with a Significant History of Misconduct (July 1, 2019)
COMMENT LETTER: Rule Proposal PRN 2019-044, Fiduciary Duty of Broker-Dealers, Agents, Investment Advisers, and Investment Adviser Representatives; Proposed New Rule N.J.A.C. 13:47A-6.4 and Proposed Amendment to N.J.A.C. 13:47A-6.3 (June 14, 2019)
PRESS RELEASE: PIABA: Divided SEC Vote Lowering Investor Advice Protections for Investors "Very Disappointing" (June 5, 2019)
PRESS RELEASE: CFA & PIABA: SEC Chair's Proposal on Investment Advice Should be Renamed "Regulation NBI (Not Best Interest)" (June 4, 2019)
Subscribe to PIABA Newsroom

In the Media

Brokerage E&O insurance could help fix unpaid arbitration, report says, By James Langton
Advisor's Edge (December 11, 2019) - Requiring brokerage firms to disclose whether they have E&O insurance could enhance investor protection With hundreds of millions of dollars in investor…
House, Senate bills would ban mandatory arbitration in broker, adviser client contracts, By Mark Schoeff Jr.
InvestmentNews (December 11, 2019) - Measures would have to find GOP support for any hope of Senate approval. Recently introduced bills in the House and Senate would ban mandatory arbitration…
State regulators encourage brokerages to use insurance to fund arbitration losses, By Mark Schoeff Jr.
InvestmentNews (December 11, 2019) - NASAA says step would help address problem of unpaid arbitration awards State securities regulators encouraged brokerages Wednesday to use insurance to fund…
Hybrid Advisors Who Try to Avoid Finra Hearings Should Rethink That Strategy, Lawyers Say, By Miriam Rozen
Financial Advisor IQ (October 30, 2019) - Lawyers are warning against a particular style of venue-shopping more open to hybrid RIAs than any other type of advisory. The vast majority of advisors who…