PIABA News

PIABA Comment Letter, Proposed Rule Change To Amend FINRA Rules 2210 (Communications with the Public) and 2214 (Requirements for the Use of Investment Analysis Tools) (April 15, 2014)

PIABA Comment Letter, California AB 783 - Proposed New Corporations Code Section 25102(r) Exemption, Advertising (April 2, 2014)

Regulatory News

SEC Halts Pyramid Scheme Targeting Asian and Latino Communities

The Securities and Exchange Commission today announced charges and asset freezes against the operators of a worldwide pyramid scheme targeting Asian and Latino communities in the U.S. and abroad.

SEC Announces Fraud Charges Against Coal Company and CEO for False Disclosures About Management

The Securities and Exchange Commission today announced fraud charges against a Seattle-headquartered coal company and its founder for making false disclosures about who was running the company.

Upcoming PIABA Events

2014 PIABA Annual Meeting, La Quinta Resort and Spa, La Quinta, California, October 22-25, 2014
2015 PIABA Annual Meeting, Ponte Vedra Beach and Club, Ponte Vedra Beach, Florida, October 21-24, 2015

PIABA Members:

promote the interests of the public investor in securities and commodities arbitration
protect public investors from abuses in the arbitration process
make securities and commodities arbitration fair through legislative reforms to arbitration forum providers

PIABA News

Regulatory News

PIABA Calendar

Amicus Committee Conference Call

Arbitration Committee Conference Call

SRO Committee Conference Call