PIABA Newsroom

PRESS RELEASE: Statement of the Incoming President, Michael S. Edmiston (October 28, 2021)
COMMENT LETTER: Request for Comment on Release 34-92766 (Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches) (October 1, 2021)
COMMENT LETTER: OFR Bill Reforming Chapter 517 - Recommendation to Support Florida's Office of Financial Regulation Ch. 517 Reform Legislation (September 27, 2021)
PRESS RELEASE: PIABA: 30% of 2020 FINRA Arbitration Awards Went Unpaid (September 29, 2021)
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In the Media

Ric Edelman: Investor Exams For Complex Products 'Fatally Flawed', By Tracey Longo
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…
FINRA Wants to Make It Harder for Brokers to Clear Their Records, By Melanie Waddell
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…
Finra Revives Push To Revise Reps' Record Expungement, By Tracey Longo
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…
FINRA revives expungement proposal that died after pushback By Tobias Salinger
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…