PIABA Newsroom

COMMENT LETTER: SR-NYSE-2005-43 - Proposed Rule Change and Amendment No. 1 thereto to Rule 607 Relating to the Classification of Arbitrators as Public or Industry (September 14, 2005)
COMMENT LETTER: SR-NASD-2004-183 - Notice of Filing of Proposed Rule and Amendment No. 1 Thereto Relating to Sales Practice Standards and Supervisory Requirements for Transactions in Deferred Variable Annuities; Corrected (September 8, 2005)
COMMENT LETTER: SR-NASD-2005-094 - Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to the Classification of Arbitrators Pursuant to Rule 10308 of the NASD Code of Arbitration (September 8, 2005)
COMMENT LETTER: SR-NASD-2005-023 - Proposed Rule Change and Amendment No. 1 Thereto Relating to Representation in Arbitration and Mediation (August 9, 2005)
Subscribe to PIABA Newsroom

In the Media

Change Is in the Wind On Investor Arbitration, by Jaime Levy Pessin
Wall Street Journal (May 16, 2007 11:01 pm) -- Legislative momentum may be building for a change in the way investors can resolve disputes with their brokers.Last week, three U.S. senators spoke out…
Regulator Says Morgan Stanley Withheld E-Mail in Cases, by Gretchen Morgenson
The New York Times (December 20, 2006) -- The NASD, the nation’s largest self-regulatory organization for the securities industry, accused Morgan Stanley yesterday of routinely failing to provide e-…
Nice Deal for Wall Street, Bummer on Main Street, Susan Antilla
Bloomberg (December 1, 2006) -- The Wall Street crowd is giddier than a 10-year-old with a PlayStation 3 over news that the NASD and the New York Stock Exchange will be merging their regulatory units…
Regulators to Merge on Wall St., By Stephen Labaton
The New York Times (November 29, 2006) -- WASHINGTON, Nov. 28 — The New York Stock Exchange and NASD announced plans on Tuesday to merge their regulatory organizations and eliminate duplicative and…
Regulators to Merge on Wall St., by Stephen Labaton
The New York Times (November 28, 2006) — The New York Stock Exchange and NASD announced plans on Tuesday to merge their regulatory organizations and eliminate duplicative and inconsistent rules,…
NASAA arbitration stance draws fire, Dan Jamieson
InvestmentNews (October 2, 2006 11:01 pm) -- Securities industry observers are expressing dismay that state regulators are pushing for elimination of the requirement that NASD arbitration panels…
NASD yanks arbitration proposal after protest from plaintiff's bar, Dan Jamieson
InvestmentNews (August 7, 2006 11:01 pm) -- In an unusual move, NASD has withdrawn a proposed amendment to its arbitration code.The proposal, filed in May with the Securities and Exchange Commission…
PIABA cries foul over arbitration proposal, by Dan Jamieson
InvestmentNews (July 7, 2006 11:01 pm) -- A major rewrite of NASD's arbitration code has erupted into controversy, with some plaintiff's attorneys accusing the self-regulatory organization of trying…
Is This Game Already Over? by Gretchen Morgenson
The New York Times (June 18, 2006) -- AFTER a Long Island charity that provides financial support for 190 current or former firefighters lost $614,036 in the stock market during the Internet bubble…
Investors Who Fought Arbitrator's Ties Win a Big Ruling Against Prudential, by Susanne Craig
The Wall Street Journal (June 6, 2006 11:01 pm) -- An arbitrator once accused of being in Wall Street's pocket was part of a panel that unexpectedly returned a $14.5 million penalty against a major…