PIABA Newsroom

COMMENT LETTER: SR-FINRA-2014-014 - Comment on the Effectiveness and Efficiency of its Communications With the Public Rules (May 23, 2014)
COMMENT LETTER: SR-FINRA-2014-020 - Proposed Rule Change to Adopt FINRA Rule 2081 (Prohibited Conditions Relating to Expungement of Customer Dispute Information) (May 13, 2014)
COMMENT LETTER: SR-FINRA-2014-012 - 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)
COMMENT LETTER: SR-CBOE-2014-010 - Proposed Rule Change Relating to a Fee for Qualification Examination Waiver Requests (April 7, 2014)
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In the Media

Fiduciary rule elicits mixed reactions, by Nick Thornton
Voices from all sides of the debateBenefitsPro (Apr 14, 2015) -- Support, some of it wholesale, some of it guarded, came from all of the expected quarters Tuesday – as did opposition – after the…
Save Our Retirement Coalition, 41 Major Groups Applaud Public Release of Dept. of Labor’s Proposal to Protect Americans’ Retirement Savings
In Significant Victory for Consumers, Long-Awaited Department of Labor Rule Issued for Public CommentSaveOurRetirement.org (April 14, 2015 ) -- April 14, 2015, Washington, D.C. – Members of the…
SEC Panel Calls for Universal Background Check Database, by Kenneth Corbin
FinancialPlanning (April 10, 2015 10:08 am) -- Should background information on all advisors, brokers and unregistered financial professionals be commingled in one database?According to an SEC…
SEC panel to call for better Wall Street disciplinary database
Lawyer Hearld (April 10, 2015 3:16 am) -- A panel of investor advocates said on Thursday they were developing a proposal for U.S. securities regulators that will make it easier for retail investors…
Investor Panel Eyes Improved Online Background Checks of Financial Professionals, by Sarah N. Lynch
Insurance Journal (Reuters April 10, 2015) -- A panel of investor advocates said on Thursday they were developing a proposal for U.S. securities regulators that will make it easier for retail…
SEC Panel Looks At Advisor Background Database, by Arthur D. Postal
InsuranceNewsNet.com (April 10, 2015) – A Securities and Exchange Commission (SEC) advisory group is considering the creation of a tool to make it easier for investors to obtain background…
PIABA Hails New Progress Toward "One Stop Shopping" For Background Checks On Financial Professionals
BloombergBusiness (April 9, 2015 3:18 pm) -- The Public Investors Arbitration Bar Association (PIABA) today applauded the Investor Advisory Committee of the U.S. Securities and Exchange Commission (…
SEC panel to call for better Wall Street disciplinary database, by Sarah N. Lynch
Reuters (Washington) (April 9, 2015 12:06 pm) -- A panel of investor advocates said on Thursday they were developing a proposal for U.S. securities regulators that will make it easier for retail…
SEC panel to call for better Wall Street disciplinary database, by Sarah Lynch
TheFiscalTimes.com (Reuters) (April 9, 2015) -- A panel of investor advocates said on Thursday they were developing a proposal for U.S. securities regulators that will make it easier for retail…
PIABA Hails New Progress Toward "one Stop Shopping" For Background Checks On Financial Professionals - Citing Its March 2014 Report, PIABA Urges Full Disclosure of All Information
InvestorIdeas.com (April 9, 2015) -- The Public Investors Arbitration Bar Association (PIABA) today applauded the Investor Advisory Committee of the U.S. Securities and Exchange Commission (SEC) for…