PIABA Newsroom

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)
COMMENT LETTER: Comment on Rules and Issues Relating to Senior Investors (October 8, 2019)
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In the Media

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,…
Bill Galvin gets an earful from Wall Street over proposed stricter rules for brokers, By Jon Chesto
The Boston Globe (January 7, 2020) - Secretary of State Bill Galvin’s war with Wall Street moved to a new battleground on Tuesday: a packed State House hearing room. One by one, representatives of…