PIABA Newsroom

COMMENT LETTER: NASAA Proposed Whistleblower Model Act (June 29, 2020)
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)
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In the Media

House Passes Bill Requiring SEC, CFTC Digital Assets Working Group, By Melanie Waddell
ThinkAdvisor (April 21, 2021) - What You Need to Know The SEC and CFTC are to establish a digital asset working group under the Eliminate Barriers to Innovation Act. The Senior Security Act…
PIABA Lends Support to The Investor Choice Act of 2021, By Christy Boardman and Bradley Rounsaville
JD SUPRA (April 21, 2021) - On April 15, 2021, the Public Investors Advocate Bar Association (“PIABA”) issued a statement supporting a bill called the Investor Choice Act of 2021.  If enacted, this…
New Bill Would Outlaw Forced Investor Arbitration Agreements, By Tracey Longo
Financial Advisor (April 16, 2021) - A bill introduced yesterday would prohibit broker-dealers and advisors from making clients sign mandatory arbitration agreements. The Investor Choice Act would…
Prehearing Issues Raised by Virtual Hearings of FINRA Arbitrations, By Joel Everest and Josh Jones
JD Supra (March 18, 2021) - The Financial Industry Regulatory Authority (FINRA) has made significant changes to the arbitration process in response to the COVID-19 pandemic. On March 25, 2020, FINRA…