PIABA Newsroom

COMMENT LETTER: Request for Comment on Release 34-92766 (Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches) (October 1, 2021)
COMMENT LETTER: OFR Bill Reforming Chapter 517 - Recommendation to Support Florida's Office of Financial Regulation Ch. 517 Reform Legislation
PRESS RELEASE: PIABA: 30% of 2020 FINRA Arbitration Awards Went Unpaid (September 29, 2021)
PIABA REPORT: FINRA Arbitration's Persistent Unpaid Award Problem (September 29, 2021)
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In the Media

The End of Forced Arbitration? By Susan Antilla
The American Prospect (October 6, 2021) - Persistent advocates and new strategies have led some companies to relent on blocking access to courts. But there’s a long way to go. It sounds like a scene…
State Regulators Propose Fix to Mounting Unpaid Arb Awards, By Miriam Rozen
AdvisorHub (October 6, 2021) - The North American Securities Administrators Association unveiled this week proposed model rules through which state regulators could revoke licenses of state-…
NASAA seeks comment on new rules for unpaid arbitration awards, By InvestmentNews
InvestmentNews (October 5, 2021) - The North American Securities Administrators Association, the group representing state and provincial securities regulators, will put out for public comment a set…
Trouble With a Broker? Don’t Assume a Payout Is Coming, By Chris Kissell
MoneyTalksNews (October 5, 2021) - Don't automatically expect to be compensated — even if you are granted an arbitration award. If you believe your broker or brokerage firm has harmed you…