PIABA Newsroom

PRESS RELEASE: Leading Worker, Consumer and Investor Advocates Urge SEC to Investigate RIA Mandatory Arbitration (May 18 2022)

COMMENT LETTER: FINRA Regulatory Notice 22-09 - FINRA Proposed Rule to Accelerate Processing of Arbitration Proceedings for Seriously Il or Elderly Parties (May 16, 2022)

COMMENT LETTER: FINRA Regulatory Notice 22-08 - Comment on Sales Practice Obligations for Complex Products and Options (May 9, 2022)

COMMENT LETTER: Compliance Assistance Release No. 2022-01 401(k) Plan Investments in "Cryptocurrencies" (April 26, 2022)

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In the Media

FINRA Takes ‘First Step’ to Improve Arbitrator Selection Process, By Melanie Waddell

ThinkAdvisor (September 16, 2022) - The Financial Industry Regulatory Authority is seeking approval from the Securities and Exchange Commission to provide greater transparency and consistency…

PIABA: Ga. Broker’s Conduct Is “Road Map” For Avoiding Arb Awards, By Patrick Donachie

WealthManagement (August 22, 2022) - Did a now-defunct IBD avoid FINRA financial judgements by transferring brokers and clients to another firm? Both PIABA and the FSI are weighing in on a case…

Legislation would help senior investors obtain legal help, By Mark Schoeff Jr.

InvestmentNews (August 22, 2022) - Bills in both the House and Senate would establish an SEC grant program to support investor advocacy clinics at law schools. Senior investors who have low-dollar…

FINRA stirs expungement debate with latest arbitration reform proposal, By Tobias Salinger

FinancialPlanning (August 10, 2022) - The latest FINRA proposal on removing client complaints from brokers' records is setting up a rulemaking debate that's likely to be long and contentious. FINRA …