PIABA Newsroom

COMMENT LETTER: RIN 1210‐AB79; Definition of the Term “Fiduciary”; Delay of Applicability Date (March 17, 2017)
PRESS RELEASE: PIABA Lauds Court Ruling in Favor of Fiduciary Rule, Urges End to Challenges and Multi-Billion-Dollar “Victimization of Investors” (February 9, 2017)
COMMENT LETTER: Proposed Rule Change to Extend the MSRB’s Customer Complaint and Related Recordkeeping Rules to Municipal Advisors and to Modernize Those Rules (December 9, 2016)
COMMENT LETTER: Proposed Rule Change to Amend Rule 4512 (Customer Account Information) and Adopt FINRA Rule 2165 (Financial Exploitation of Specified Adults) (November 28, 2016)
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In the Media

Finra's fine money whets appetites of investor advocates, experts, industry representatives
InvestmentNews (October 23, 2017) - Suggestions for uses range from establishing funds for harmed investors, those whose arbitration awards go unpaid or giving it to the Treasury Department The $176.…
PIABA Names a New President
ThinkAdvisor (October 23, 2017) - Setting up unpaid arbitration pool, stopping 'watered down' SEC fiduciary rule among his priorities The Public Investors Arbitration Bar Association announced Monday…
Finra rule would let investors take arb claims to court if broker goes bankrupt during proceeding, By Mark Schoeff Jr.
InvestmentNews (October 19, 2017) - Move is designed to address unpaid arbitration claims, but critic says it doesn't go far enough Finra is seeking to allow investors in arbitration to take their…
Finra Offers Remedy for Unpaid-Claims Problem
Barron's (October 19, 2017) - Finra wants to allow investors in arbitration to take their claims to court if their brokerages or brokers go bankrupt while arbitration is underway, InvestmentNews…