AdvisorHub (December 19, 2022) - The Financial Industry Regulatory Authority, in an attempt to address criticisms from state regulators and investor advocates, among others, has amended its proposal…
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In the Media
Financial Planning (December 6, 2022) - Four of Advisor Group's brokerages settled FINRA charges that the firms negligently sold clients $16 million worth of alternative investments without informing…
ThinkAdvisor (December 2, 2022) - The Public Investors Advocate Bar Association says the Financial Industry Regulatory Authority’s plan to allow a home office to be considered a non-branch “…
Financial Advisor IQ (November 30, 2022) - The Public Investors Advocate Bar Association contends that a proposal to classify home offices as non-branch locations “leaves considerable opportunity for…
Wealth Management (November 30, 2022) - The regulatory agency released an update Wednesday on its targeted sweep of firms’ supervision of options recommendations, launched in August 2021, offering…
Wealth Management (November 28, 2022) - The proposed rule would make remote examinations of the residential offices a permanent part of FINRA's process, but PIABA President Hugh Berkson warns it…
Financial Planning (November 18, 2022) - Brokers have until Dec. 7 to comment on an amended rule that would make it harder for them to have customer complaints expunged from the online database…
AdvisorHub (November 11, 2022) - The Financial Industry Regulatory Authority has once again revised and delayed a proposed rule change aimed at tightening the process for brokers to expunge customer…
Wealth Management (November 8, 2022) - In a discussion with WealthManagement.com, Hugh Berkson said the organization will continue to raise awareness of the issue of unpaid arbitration awards and the…
Investment News (November 2, 2022) - State regulators and PIABA have questioned whether a residential supervisory location would provide appropriate investor protection.
Finra is trying to update…