PIABA Newsroom
In the Media
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…
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…
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…
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…
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…
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…
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…
Investment News (November 7, 2023) By Mark Schoeff Jr.
'Finra provides essential services ... thousands of firms, hundreds of thousands of registered persons, and millions of American investors rely…
Financial Planning (November 7, 2023) By Dan Shaw
Investor advocacy groups are out with a slew of briefs arguing that a lawsuit questioning FINRA's mere right to exist could blow open a…
AdvisorHub (November 1, 2023) By Miriam Rozen
Some financial advisors did not get a lot of love from the White House bully pulpit on Tuesday when President Joe Biden rolled out the Department of…