PIABA Newsroom

COMMENT LETTER: File No. S7-14-08 - Proposed Rule Change Regarding Indexed Annuities and Certain Other Insurance Contracts (September 10, 2008)
COMMENT LETTER: SR-FINRA-2008-031 - Notice of Filing of Proposed Rule Change to Amend the Arbitration Uniform Submission Agreement and Related Rules (August 6, 2008)
COMMENT LETTER: SR-FINRA-2008-019 - Notice of Filing of Proposed Rule Change Relating to Sales Practice Standards and Supervisory Requirements for Transactions in Deferred Variable Annuities (June 26, 2008)
COMMENT LETTER: Regulatory Notice 08-25, Proposed Consolidated FINRA Rules Governing Books and Records Requirements (June 13, 2008)
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In the Media

Schwab to allow clients to file class actions, by Dan Jamieson and Mark Schoeff Jr.
InvestmentNews (May 16, 2013 3:34 pm) -- The Charles Schwab Corp. has temporarily eliminated language in its client contracts that prevents customers from filing class-action lawsuits but whether the…
PIABA lawyer advises against NASD's U.K. arbitration option
Highbeam Business (Compliance Reporter) (May 16, 2005) -- A co-founder and board member of the Public Investors Arbitration Bar Association, said he would not recommend clients in the U.K. use the…
Regulators Join Fight To Block Schwab's Class Action Waiver, By Kathryn Brenzel
Law360, New York (May 09, 2013 5:16 PM) -- State regulators and investor organizations Wednesday joined the Financial Industry Regulatory Authority in its appeal against a FINRA panel decision to…
NASAA Joins FINRA in Fight Against Schwab Class-Action Ruling State securities regulators file an amicus brief supporting FINRA By Melanie Waddell
ThinkAdvisor (May 9, 2013) -- State securities regulators are throwing their support behind FINRA in its battle to overturn a decision by the self-regulator’s hearing panel that allowed Charles…
PIABA Joins with Lawmakers and Regulators in Support of a Ban on Forced Wall Street Arbitration
Atlanta Business Chronicle (May 2, 2013) -- In recent weeks a groundswell of high- level support has been growing surrounding the issue of mandatory arbitration in the securities industry.Earlier…
Finra Mulls Arbitration Changes, by Caitlin Nish
The Wall Street Journal (April 12, 2013 5:27 pm) -- The Financial Industry Regulatory Authority's board on Thursday will consider changes intended to simplify the rules for investors selecting an…
Finra Board to Consider Arbitration Changes, by Caitlin Nish
Wall Street Journal Wealth Adviser (April 11, 2013 3:01 pm) -- The Financial Industry Regulatory Authority's board next week will consider proposed changes intended to simplify the rules for…
SEC Oversight of FINRA Exempt from FOIA Request, by Emily Stern and Dean N. Razavi
corporatefinancialweeklydigest.com (March 22, 2013) -- The District Court for the District of Columbia has held that the Securities and Exchange Commission is exempt from producing documents relating…
FINRA’s Win is Your Loss, By Daniel Solin
U.S. News & World Report (March 21, 2013 9:14 am) Investors with brokerage accounts must settle disputes through the FINRA-run arbitration system, not a jury trial. FINRA is the Financial…
FINRA's Arbitration Records Exempt from FOIA Disclosure: D.C. District Court, by Securities Lawprof
Securities Law Prof Blog (March 18, 2013) -- The D.C. district court recently rebuffed the efforts of an association of attorneys who represent public investors in securities arbitrations to obtain…