PIABA Newsroom

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)
REPORT: Clayton “BI” Proposal is a Step Backwards That Will Not End Conflicted Advice and Investor Confusion (June 4, 2019)
COMMENT LETTER: Request for Comment on Proposed Rule to Adopt Remaining Legacy NASD and Incorporated NYSE Rules as FINRA Rules (May 6, 2019)
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In the Media

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…
State regulators encourage brokerages to use insurance to fund arbitration losses, By Mark Schoeff Jr.
InvestmentNews (December 11, 2019) - NASAA says step would help address problem of unpaid arbitration awards State securities regulators encouraged brokerages Wednesday to use insurance to fund…
Hybrid Advisors Who Try to Avoid Finra Hearings Should Rethink That Strategy, Lawyers Say, By Miriam Rozen
Financial Advisor IQ (October 30, 2019) - Lawyers are warning against a particular style of venue-shopping more open to hybrid RIAs than any other type of advisory. The vast majority of advisors who…
Finra Advances Proposal To Allow Brokers To Expunge Their Records, By Tracey Longo
Financial Advisor (October 7, 2019) - Finra's board of directors advanced for public comment a proposal that will allow brokers to clear their record of customer disputes. The self-regulatory…