PIABA Newsroom

COMMENT LETTER: Ohio Regulation 1301:6-3-09 - Registration by Qualification (August 31, 2023)
COMMENT LETTER: SEC 34-97398 – Proposed Rule Change To Adopt Supplementary Material .18 (Remote Inspections Pilot Program) Under FINRA Rule 3110 (Supervision) (August 28, 2023)
COMMENT LETTER: FINRA Regulatory Notice FINRA 23-09; Additional changes to Rules, Operations or Administrative procedures to further promote Capital Formation (August 8, 2023)
COMMENT LETTER: Proposed Rule Change, as Modified by Amendment No. 1, to Adopt Supplementary Material .19 (Residential Supervisory Location) Under FINRA Rule 3110 (Supervision) (July 31, 2023)
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In the Media

Advocates Prepare for Battle Over New Fiduciary Rule, By Maria Laus
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…
401(k) Advocates Gear Up to Fight Wall Street on Fiduciary Rule, By Austin R. Ramsey
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…
Finra asks SEC to extend remote inspections program, By Ryan W. Neal
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…
The Financial Industry Regulatory Authority Fines and Suspends Former Broker for Violating Reg BI, By James Forsyth
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…