PIABA Newsroom

COMMENT LETTER: Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 12000 Series to Expand Options Available to Customers if a Firm or Associated Person is or Becomes Inactive (December 13, 2019)
COMMENT LETTER: Comment on Rules and Issues Relating to Senior Investors (October 8, 2019)
COMMENT LETTER: Roundtable on Combating Elder Investor Fraud (October 2, 2019)
COMMENT LETTER: Concept Release on Harmonization of Securities Offering Exemptions File No. S7-08-19 (September 24, 2019)
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In the Media

Finra proposal to clamp down on firms, reps with unpaid arb awards moves forward, By Mark Schoeff Jr.
InvestmentNews (February 7, 2020) - Rule would restrict movement of brokers or firms’ assets if arbitration claims are pending A Finra proposal that would restrict registered representatives from…
Banned from selling securities but still hawking insurance, By Bruce Kelly
InvestmentNews (January 28, 2019) - Three salesmen barred for selling the Woodbridge Ponzi scheme still have state licenses to sell insurance The Securities and Exchange Commission earlier this week…
Carson expungement illustrates problem with system, lawyers say, Mark Schoeff Jr.
InvestmentNews (January 23, 2020) - A Finra arbitrator ruled that a customer dispute from 2004 should be removed from his record Ron Carson succeeded in removing a customer dispute from his record,…
Dodd, Frank challenge SEC’s Regulation Best Interest, By Lori Tripoli
Compliance Week (January 10, 2020) - Joining forces with a handful of state attorneys general who are seeking to have the Securities and Exchange Commission’s Regulation Best Interest set aside,…