PIABA Newsroom

COMMENT LETTER: SR-FINRA-2014-006 - Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to Per Share Estimated Valuations for Unlisted DPP and REIT Securities (June 25, 2014)
COMMENT LETTER: Regulatory Notice 14-19 - Revised Proposal to Require a Hyperlink to BrokerCheck in Online Retail Communications With the Public (June 16, 2014)
COMMENT LETTER: California AB 2096 - Proposed New Corporations Code Section 25102(r) Exemption, Advertising (June 11, 2014)
COMMENT LETTER: SR-FINRA-2014-015 - Comment on the Effectiveness and Efficiency of its Gifts and Gratuities and Non-Cash Compensation Rules (May 23, 2014)
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In the Media

New Study Compares Brokerage Firm Advertising, by Jim Eccleston
Ecclestonlaw.com (April 15, 2015 3:32 pm) An investor advocacy bar association, known as PIABA (the Public Investors Arbitration Bar Association), has issued a report entitled, “Major Investor Losses…
Tougher Rules But Flexible Comp Under New Fiduciary Proposal. . ., by Andrew Weslch and Suleman Din
Traders Magazine (April 15, 2015) -- The Department of Labor today unveiled its much-anticipated rule proposal extending a fiduciary standard to thousands of brokers and advisors providing investment…
DOL Seeks Comments on Proposed Retirement Advice Rule Imposing a fiduciary standard could change how investment advice is provided to plan participants, by Stephen Miller
SHRM.com (April  15, 2015)  -- The U.S. Department of Labor issued a proposed rule on April 14, 2015, that would impose a stricter fiduciary standard on those providing retirement investment advice.…
PIABA: Labor Department Rule To Curb Conflicted Advice By Brokers Is Huge Step Forward To Protect Financial Consumers
"Fiduciary Rule" is Key to Stemming Loss of Billions Lost Each Year in Retirement SavingsInvestorIdeas (April 15, 2015)  -- Joseph C. Peiffer, president of the Public Investors Arbitration Bar…
PIABA: Labor Department Rule To Curb Conflicted Advice By Brokers Is Huge Step Forward To Protect Financial Consumers
"Fiduciary Rule" is Key to Stemming Loss of Billions Lost Each Year in Retirement SavingsiStockAnalyst.com (April 14, 2015 2:51 pm) -- Joseph C. Peiffer, president of the Public Investors…
DOL issues long-awaited fiduciary proposal, seeks ‘harmony’ with securities rules By Mark S. Nelson, J.D.
EmploymentLawDaily.com (April 14, 2015) -- The Department of Labor issued its highly anticipated proposal defining “fiduciary” under the Employee Retirement Income Security Act of 1974 late today.…
Tougher Rules But Flexible Comp Under New Fiduciary Proposal, by Andrew Welsch and Suleman Din
The Department of Labor today unveiled its much-anticipated rule proposal extending a fiduciary standard to thousands of brokers and advisors providing investment advice to clients on retirement…
PIABA: Labor Department Rule To Curb Conflicted Advice By Brokers Is Huge Step Forward To Protect Financial Consumers
"Fiduciary Rule" is Key to Stemming Loss of Billions Lost Each Year in Retirement SavingsYahoo.com (PR Newswire April 14, 2015) -- Joseph C. Peiffer, president of the Public Investors Arbitration Bar…
PIABA: Labor Department Rule To Curb Conflicted Advice By Brokers Is Huge Step Forward To Protect Financial Consumers
4-traders.com (April 14, 2015) -- Joseph C. Peiffer, president of the Public Investors Arbitration Bar Association (PIABA) issued the following statement today upon the release by the U.S. Department…
Fiduciary rule elicits mixed reactions, by Nick Thornton
Voices from all sides of the debateBenefitsPro (Apr 14, 2015) -- Support, some of it wholesale, some of it guarded, came from all of the expected quarters Tuesday – as did opposition – after the…