PIABA Newsroom

COMMENT LETTER: Leading Consumer and Investor Advocates Comment on the Investor Choice and Digital Commodities Legislation (December 9, 2022)
COMMENT LETTER: SR-FINRA-2022-024 - FINRA Proposed Rule Change to Amend the Codes of Arbitration Procedure to Modify the Current Process Relating to the Expungement of Customer Dispute Information, As Modified by Amendment No. 1 (December 7, 2022)
COMMENT LETTER: SR-FINRA-2022-021 - Proposed Rule Change to Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt Supplementary Material .18 (Remote Inspections Pilot Program) Under FINRA Rule 3110 (December 7, 2022)
COMMENT LETTER: Proposed Rule Change to Adopt New Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (November 22, 2022)
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In the Media

PIABA Will Look to Congress if SEC Doesn't Act on Forced Arbitration, By Patrick Donachie
Wealth Management (July 25, 2023) - A commission report from last month highlights the problem of forced arbitration clauses in contracts between RIAs and clients. Following last month’s report by…
Investor attorneys to press SEC, Congress on RIA arbitrations, By Tobias Salinger
Financial Planning (July 25, 2023) - Investor attorneys to press SEC, Congress on RIA arbitrations The client complaint process for some registered investment advisory firms may cost the harmed…
The Process for Resolving Advisor-Client Disputes Can Be a Black Box. Piaba Wants to Change That, By Kenneth Corbin
Barron's (July 25, 2023) - When disputes arise between investors and the financial advisors, the process for resolving them is opaque and often expensive. An influential group of attorneys who…
Finra Proposes Clarifications on Residential Supervisory Locations, By Alex Padalka
Financial Advisor IQ (July 13, 2023) - The industry’s self-regulator wants to allow more flexibility as far as what’s counted as experience by brokers wanting to use their home offices as residential…