PIABA Newsroom

Statement by Christine Lazaro for the SEC Investor Advisory Committee Meeting (December 2, 2021)
PRESS RELEASE: Statement of PIABA President on NASAA’s Phase II Report on Regulation Best Interest (November 4, 2021)
COMMENT LETTER: Request for Comment Regarding a Proposed Model Rule for Unpaid Arbitration Awards Under the Uniform Securities Acts of 1956 and 2002 (November 4, 2021)
PRESS RELEASE: Statement of the Incoming President, Michael S. Edmiston (October 28, 2021)
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In the Media

Senior Financial Abuse Fight Needs More Cooperation By Government Agencies, SEC Told, By Ted Knutson
Forbes (December 2, 2021) - The Securities and Exchange Commission was told by experts Thursday greater cooperation between government agencies at the federal, state, and local levels and the private…
Client attorneys say RIAs force disputes into costly arbitration, By Tobias Salinger
Financial Planning (November 23, 2021) - RIA clients seeking compensation for losses as a result of advisors’ harmful conduct may have an even smaller chance of success than customers of dually…
Bill Barring Binding Arbitration Agreements Passes in House Panel, By Alex Padalka
Financial Advisor IQ (November 18, 2021) - The House of Representatives' Financial Services Committee has passed a bill first introduced eight years ago that would prohibit broker-dealers, investment…
Bill to end mandatory arbitration faces steep climb in Senate, By Mark Schoeff, Jr.
Investment News (November 17, 2021) - Democrats back the legislation, but Republicans are united against it. While the measure was passed by a House committee, an advocate calls winning congressional…