PIABA Newsroom

COMMENT LETTER: Proposed Rule to Limit a Registered Person from Being Named a Customer’s Beneficiary or Holding a Position of Trust for or on Behalf of a Customer (January 10, 2020)
COMMENT LETTER: Massachusetts Fiduciary Duty Proposed Amendments to 950 CMR Sections 12.204, 12.205 & 12.207 (January 7, 2020)
AMICUS BRIEF: XY Planning Network LLC et al vs. SEC Brief of PIABA as Amicus Curiae in Support of Petitioners 2nd Cir Ct of App (January 3 2020)
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)
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In the Media

Finra Files Rule Linking Membership with Arb Awards Payments, By Alex Padalka
Financial Advisor IQ (February 11, 2020) - Finra says it has filed a proposed rule change with the SEC aimed at tackling the issue of unpaid arbitration awards. The proposal would amend rules on…
Finra seeks minimum expungement fees of several thousand dollars, By Mark Schoeff Jr.
InvestmentNews (February 11, 2020) - Proposal aims to raise bar for brokers to clear their records, but a lawyer for investors says it only will fill Finra's coffers Finra is proposing to assess…
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…