PIABA Newsroom

PRESS RELEASE While American Workers Face Ongoing Struggle to Save for Retirement, DOL Appears Poised to Strip Them of Important Protections (June 23, 2020)
COMMENT LETTER: Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Allow the Dissemination of IAPD Information through BrokerCheck (May 26, 2020)
COMMENT LETTER: File No. SR-FINRA-2020-011, FINRA proposed rule change to address brokers with a significant history of misconduct (May 5, 2020)
COMMENT LETTER: File No. SR-FINRA-2020-007 (FINRA proposed rule change to suitability and non-cash compensation rules to clarify and conform rules to Reg BI) (April 15, 2020)
Subscribe to PIABA Newsroom

In the Media

Surge In Client Finra Arbitration Filings May Be On Horizon, By Tracey Longo
Financial Advisor (May 18, 2020) - While Finra arbitration filings have already risen 14% this year, that is just the tip of the iceberg of customer cases the industry can expect as fallout from the…
Lawyers slow to embrace Zoom for Finra arbitration hearings, By Mark Schoeff Jr.
InvestmentNews (May 13, 2020) - In-person sessions, suspended during the pandemic, allow for better presentation of evidence and arguments, they say Arbitration lawyers appear reluctant to try their…
Finra Arb Disputes Between Clients, B-Ds Expected to Spike: Lawyers, By Miriam Rozen
Financial Advisor IQ (May 12, 2020) - Pre-pandemic 2020 was shaping up as an unremarkable year for Finra arbitration disputes between clients and broker-dealers, according to the most recent…
Brokers Appealing Disciplinary Actions May Face Tougher Oversight, By Tracey Longo
Financial Advisor (May 11, 2020) - Registered reps who have been barred from the securities or been the subject of other disciplinary actions are able to continue working without restrictions if they…