PIABA Newsroom

COMMENT LETTER: FINRA Proposed Rule Change to Apply Minimum Fees to Requests for Expungement of Customer Dispute Information – File No. SR-FINRA-2020-005 (March 18, 2020)
COMMENT LETTER: Proposed Amendments to the Definition of "Accredited Investor" File No. S7-25-19 (March 16, 2020)
COMMENT LETTER: FINRA Regulatory Notice 20-02; Comment on the Effectiveness and Efficiency of Its Reporting Requirements Rule (February 26, 2020)
COMMENT LETTER: Proposed Rule to Limit a Registered Person from Being Named a Customer’s Beneficiary or Holding a Position of Trust for or on Behalf of a Customer (January 10, 2020)
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In the Media

Finra Files Rule Linking Membership with Arb Awards Payments, By Alex Padalka
Financial Advisor IQ (February 11, 2020) - Finra says it has filed a proposed rule change with the SEC aimed at tackling the issue of unpaid arbitration awards. The proposal would amend rules on…
Finra seeks minimum expungement fees of several thousand dollars, By Mark Schoeff Jr.
InvestmentNews (February 11, 2020) - Proposal aims to raise bar for brokers to clear their records, but a lawyer for investors says it only will fill Finra's coffers Finra is proposing to assess…
Finra proposal to clamp down on firms, reps with unpaid arb awards moves forward, By Mark Schoeff Jr.
InvestmentNews (February 7, 2020) - Rule would restrict movement of brokers or firms’ assets if arbitration claims are pending A Finra proposal that would restrict registered representatives from…
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…