PIABA Newsroom
In the Media
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…
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…
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…