PIABA Newsroom
In the Media
InvestmentNews (October 10, 2023) - 'If Finra doesn’t have the ability to enforce its own rules and discipline its members, then chaos will reign,' says PIABA President Hugh Berkson.
Eugene H. Kim…
AdvisorHub (October 9, 2023) - The Financial Industry Regulatory Authority has proposed a new rule barring non-lawyers who receive compensation from representing parties in its arbitration forum.…
Financial Planning (October 5, 2023) - Cartoonist Ashleigh Brilliant's quip, "I don't have any solution, but I certainly admire the problem," encapsulates the Securities and Exchange Commission's…
JDJournal (September 28, 2023) - Consumer Advocates Rekindle Fight for Retiree Financial Protection as Labor Department Pursues Fiduciary Rulemaking
Reviving the Cause
In the arena of financial…
Bloomberg Law (September 28, 2023) -
Groups prepare for renewed fight over conflicted advice
Proposal likely to address five-part fiduciary test loopholes
Consumer advocates are readying…
InvestmentNews (September 27, 2023) - The rule allowing such inspections is due to expire at the end of this year, but Finra has asked to delay the expiration until June 30.
The Financial Industry…
Off Plan Property Exchange (September 19, 2023) - The Financial Industry Regulatory Authority (FINRA) has taken enforcement actions against a former broker for violating Regulation Best Interest (Reg…
Advisorhub (September 19, 2023) - The Financial Industry Regulatory Authority continues to bring enforcement actions over violations of the three-year-old Regulation Best Interest rule and this week…
Investment News (September 14, 2023) - Over nearly three years 'our branch examiners have refined their skills and become very adept at identifying risk remotely,' insists LPL Financial.
State…
InvestmentNews (August 24, 2023) - A brokerage and a rep, both targets of Finra disciplinary actions, have filed suits questioning the regulator’s constitutionality.
A Washington, D.C., federal…