PIABA Newsroom

AMICUS BRIEF: Alpine Securities Corp. and Scottsdale Capital Advisors Corp. v. FINRA and USA, Amicus Brief of PIABA in Support of Defendant-Appellee, US District Court for the District of Columbia, No. 1:23-Cv-01506-BAH (November 3, 2023)
Coalition Letter to SEC Re RIA Arbitration Reform Next Steps (November 2, 2023)
PRESS RELEASE - PIABA Applauds New DOL Rule That Would Protect Investors from Financial Advisor Abuse (October 31, 2023)
PRESS RELEASE - Statement of the Incoming President, Joseph C. Peiffer (October 26, 2023)
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In the Media

Labor gets an earful: 25 key moments from retirement advice hearings, By Tobias Salinger
Financial Planning (December 27, 2023) By Tobias Salinger Two days of panels with critics and supporters of the Department of Labor's "retirement security rule" proposal displayed the widely…
2023 was another big year for regulation. Here are 7 reasons why, By Dan Shaw
Financial Planning (December 22, 2023) By Dan Shaw 7 Expungeable assets Life got a little tougher for brokers who are hoping to clear their names using a formal process known as expungement.FINRA…
Industry Awaits Final Versions of Regulations in 2024, By Patrick Donachie
WealthManagement (December 22, 2023)  By Patrick Donachie Industry experts cited the DOL’s fiduciary rule, further guidance on the SEC’s marketing rule and potential movement on unpaid FINRA…
After denying extension, DOL announces 2-day fiduciary rule hearing this week, By Kristen Beckman
ALM Benefits Pro (December 11, 2023) - By Kristen Beckman After denying a request by financial groups to extend the public comment period for the new proposed rule, the DOL is now giving…
DOL hearing promises passionate support and resistance from industry — here's a sample, By Tobias Salinger
Financial Planning (December 11, 2023) - By Tobais Salinger The Department of Labor's public hearing about the "retirement security rule" proposal will fill two days with panels involving more than…
PIABA Urges SEC to Suspend RIA Mandatory Arbitration Clauses, By Patrick Donachie
Wealth Management (December 11, 2023) - By Patrick Donachie In a recent report, the SEC Investor Advocate suggested the commission "temporarily" stop RIAs from including mandatory arbitration…
SEC office calls for halt to mandatory arbitration for advisor disputes, By Dan Shaw
Financial Planning (December 5, 2023) - By Dan Shaw An investor advocacy group within the SEC is warning that advisors who use contract clauses to force client disputes into arbitration could be…
Brokerage industry applauds, PIABA criticizes approval of remote inspection proposals, By Mark Schoeff, Jr.
InvestmentNews (November 21, 2023) - By Mark Schoeff, Jr. 'It's supervision by Zoom,' PIABA says, while Finra says the new rules reflect hybrid work arrangements while protecting investors. A…
SEC Blesses Relaxed Rules for Supervising Brokers Working From Home, By Miriam Rozen
AdvisorHub (November 20, 2023) - By Miriam Rozen Brokers who prefer to stay in their pajamas while selling stocks have caught a break from the Securities and Exchange Commission.  The federal…
Voices Long overdue, FINRA's expungement reforms are still inadequate By Benjamin Edwards Joe Peiffer
Financial Planning (November 15, 2023) - By Benjamin Edwards and Joe Peiffer FINRA's recent reforms to its expungement process, which allows the removal of old customer complaints from a broker's…