PIABA Newsroom

COMMENT LETTER: Regulatory Notice 20-34; Senior Investors Proposed Amendments to FINRA Rule 2165 and Retrospective Rule Review Report (December 4, 2020)
COMMENT LETTER: SR-FINRA-2020-038 - Proposed Rule Change to Amend FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities)(November 27, 2020)
COMMENT LETTER: SEC File Number S7-13-20 - Proposed Exemptive Order Granting Conditional Exemption from the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Finders (November 12, 2020)
COMMENT LETTER: SR-FINRA-2020-030; Proposed Rule Change to Modify the Current Process Relating to the Expungement of Customer Dispute Information (October 23, 2020)
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In the Media

SEC Proposal to Exempt Finders from Registration Generates Split Reaction, By Jeff Kern, Bochan Kim
The National Law Review (November 24, 2020) -  A Securities and Exchange Commission (“SEC”) plan to create a registration exemption for certain finders has generated a mixed response.  The nearly 90…
New PIABA President Takes Aim At BrokerCheck, SEC 'Finder' Rule, By Tracey Longo
Financial Advisor (November 5, 2020) - David P. Meyer, the new president of the national trade group of lawyers who represent investors in fraud cases, is already advancing an ambitious agenda of pro…
David P. Meyer Selected as President of PIABA, By PRNewswire
PR Newswire (October 27, 2020) - Attorney David P. Meyer has assumed his role as President of the Public Investors Advocate Bar Association (PIABA) for the 2020-2021 term. COLUMBUS, Ohio, Oct. 27,…
FINRA Files to Boost Arbitrators' Pay, By Melanie Waddell
ThinkAdvisor (October 19, 2020) - The Financial Industry Regulatory Authority wants to boost arbitrators’ pay as well as the fees for those bringing claims of more than $500,000. The broker-dealer…