Financial Advisor (May 10, 2022) - The Financial Industry Regulatory Authority received more than 750 responses to its complex product request for comment by the time the comment period closed on…
PIABA Newsroom
In the Media
ThinkAdvisor (May 4, 2022) - What You Need to Know
FINRA is moving ahead on an overhaul of its expungement process.
A lawyer for investors says too many expungements are still being granted.
A…
Financial Advisor (April 29, 2022) - The Financial Industry Regulatory Authority is resurrecting an effort to revise its expungement process, citing a variety of ways its reps push the system to…
FinancialPlanning (April 28, 2022) - After FINRA’s withdrawal of a broker expungement arbitration reform proposal, the regulator is now suggesting a “two-track approach” that includes the SEC…