PIABA Newsroom

COMMENT LETTER: Regulatory Notice 12-09 - Debt Research Reports (April 2, 2012)
COMMENT LETTER: Regulatory Notice 12-10 - FINRA BrokerCheck (March 29, 2012)
COMMENT LETTER: Release No. 34-66164 - Study Regarding Financial Literacy Among Investors (March 21, 2012)
COMMENT LETTER: SR-FINRA-2012-012 - Notice of Filing of Proposed Rule Change Relating to Raising the Limit for Simplified Arbitration (March 16, 2012)
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In the Media

U.S. SEC backs ban on investor settlements erasing complaints from broker records, by Suzanne Barlyn
newsroom.me (Reuters) (July 23, 2014 1:18 pm) -- The U.S. Securities and Exchange Commission has approved a new brokerage industry rule to ban dispute settlements between securities firms and…
Broker's Bankruptcy Filings Keep Them In Business, But Potentially Put You At Peril, by Roger Gershman
Forbes (July 23, 2014 10:01 am) -- Is your investment representative’s bankruptcy your business? It should be. But Wall Street—as usual—is fighting full disclosure, and bankruptcy courts may be…
SEC To Brokers: You Can't Pay Off Clients To 'Buy' A Clean Record, by Dan Jamieson
Financial Advisor (July 23, 2014) -- he Securities and Exchange Commission on Tuesday approved a Financial Industry Regulatory Authority proposal that would prohibit brokers from paying off customers…
On 4th anniversary of Dodd-Frank, adviser issues remain unresolved, by Mark Schoeff, Jr.
Regulators taking care of more pressing mandatory rules firstInvestmentNews (July 18, 2014 12:11 pm) -- As financial regulators slog through hundreds of required rulemakings in the sprawling Dodd-…
New FINRA Task Force to Review Arbitration, by Diana Britton
WealthManagement.com (July 17, 2014 ) -- The Financial Industry Regulatory Authority has assembled a 13-person task force to recommend improvements to the arbitration process. The task force will be…
Who should you trust with your money? by Priya Anand
How to find the best person to help you manage your life savingsMarketWatch (July 7, 2014 8:04 am) -- Who should investors turn to for financial advice?Brokers, advisers and planners have different…
How to Check Up on Brokers, by Priya Anand
The market rally underscores the importance of knowing the standard to which your financial pro is held.The Wall Street Journal (July 3, 2014 5:10 pm) -- Who should investors turn to for financial…
Brokers unable to escape their past, by Mason Braswell
As Finra looks to make BrokerCheck more visible, youthful indiscretions come back to haunt some advisersInvestmentNews.com (June 27, 2014 2:24 pm) -- As Finra looks to boost awareness of its database…
What Your Stockbroker Is Doing With Your Stock Order and Why You Should Care, by Pam Martens
Wall Street On Parade (June 24, 2014) -- It’s gotten to the point that to maintain an account on Wall Street you have to surrender to a no-law zone. Wall Street is the only industry in America that…
Finra seeks to tighten investor dispute rules, by Mark Schoeff Jr.
New proposal would prevent people with industry experience from becoming “public arbitrator"InvestmentNews (June 18, 2014 8:19 pm) -- In redefining its categories for arbitrators, Finra is not only…