PIABA Newsroom

COMMENT LETTER, Proposed Amendments to Its Discovery Guide to Require Production of Insurance Information in Arbitration (September 24, 2018)
COMMENT LETTER: Proposal to Amend FINRA Rules 12214 and 13214 (August 15, 2018)
COMMENT LETTER: Regulation Best Interest 17 CFR Part 1240 (August 7, 2018)
PRESS RELEASE - To Protect Retirement Savers, “Major Surgery” Needed To Fix Shortcoming Of SEC “Best Interest Standard” Proposal (August 7, 2018)
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In the Media

Consumer Federation of America & PIABA: SEC Chair’s Proposal on Investment Advice Should Be Renamed “Regulation NBI (Not Best Interests)”, By Max Karlin
Business Wire (June 4, 2019) - Ahead of Vote, Leading Investor Watchdog Group Accuse SEC of Falsely Claiming Reg BI Better for Investors; CFA, PIABA and Better Markets Warn Mislabeled Proposal is “…
Consumer Groups Blast SEC On Eve Of Broker Conflicts Rule, By Tracey Longo
Financial Advisor (June 4, 2019) - The Securities and Exchange Commission is just 24 hours away from a historic vote to finalize its long-awaited plan for overhauling broker conflict-of-interest…
Morgan Stanley's "Shoehorning" of a Client into Finra Arbitration is Flawed, Lawyer Claims, By Miriam Rozen
Financial Advisor IQ (May 30, 2019) - Morgan Stanley relies on flawed legal arguments in its attempt to “shoehorn” a client into Finra arbitration, according to a brief filed by the client, Nirav…
House Bill Seeks End To Mandatory Arbitration Agreements, By Tracey Longo
Financial Advisor (May 23, 2019) - The House of Representatives passed an amendment late Wednesday that would prohibit mandatory arbitration agreements and reinstate the right of investors to bring…