PIABA Newsroom

COMMENT LETTER: OFR Bill Reforming Chapter 517 - Recommendation to Support Florida's Office of Financial Regulation Ch. 517 Reform Legislation (January 3, 2022)
Statement by Christine Lazaro for the SEC Investor Advisory Committee Meeting (December 2, 2021)
PRESS RELEASE: Statement of PIABA President on NASAA’s Phase II Report on Regulation Best Interest (November 4, 2021)
COMMENT LETTER: Request for Comment Regarding a Proposed Model Rule for Unpaid Arbitration Awards Under the Uniform Securities Acts of 1956 and 2002 (November 4, 2021)
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In the Media

Finra Considers Having A Regulator Take Over Broker Expungements, By Tracey Longo
Financial Advisor (May 18, 2022) -  The Financial Industry Regulatory Authority is considering overhauling its scandal-plagued process for reps trying to erase customer complaints from their records…
SEC’s Gensler sees ‘opportunity’ for tougher complex product rules, By Tobias Salinger
FinancialPlanning (May 16, 2022) - Add SEC Chair Gary Gensler to the growing chorus of regulators and critics calling for tougher rules over complex products, despite accompanying cries of protest…
Wells Fargo Investors Support Lawsuit Alleging Firm Rigged Arbitration Case, By Tracey Longo
Financial Advisor (May 12, 2022) - The saga of Wells Fargo’s “secret deal” with an Finra arbitrator has taken another turn, with investors filing a brief supporting a judge’s January decision to…
PIABA Pushes FINRA For Stronger Complex Product Regs, By Patrick Donachie
Wealth Management (May 11, 2022) - Asset managers and many advisors are waving red flags around FINRA's proposal to craft new rules for "complex products," which could make it harder to invest in…