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)
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In the Media

Proposal On Defunct Brokers Doesn’t Solve Unpaid Awards, Says PIABA, By Tracey Longo
Financial Advisor (January 6, 2020) - Investors may soon be able to bypass arbitration and proceed to court if their broker or brokerage firm leaves the business while an arbitration claim is pending…
Regulators want to make it easier for Americans to buy risky investments, By Greg Iacurci
CNBC (December 20, 2019) -  Key Points The SEC has proposed rules to expand the pool of investors who can buy so-called private funds, which are only available to fairly wealthy consumers.…
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…