PIABA Newsroom

COMMENT LETTER: SR-FINRA-2022-021 - Proposed Rule Change to Adopt Supplementary Material .18 (Remote Inspections Pilot Program) under FINRA Rule 3110 (Supervision)
COMMENT LETTER: SR-FINRA-2022-019 - Proposed Rule Change to Adopt New Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (August 23, 2022)
COMMENT LETTER: S7-16-22 Names Rule (August 15, 2022)
PRESS RELEASE: PIABA Supports the Investor Justice Act of 2022 (July 28, 2022)
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In the Media

SEC Report Highlights Concerns Over Mandatory Arbitration Clauses in Investment Advisor Contracts, By Irving Wilkinson
ABS Market Research (June 29, 2023) - A recent report from the U.S. Securities and Exchange Commission (SEC) has raised concerns about the practice of including mandatory arbitration clauses in…
SEC report on RIA mandatory arbitration leaves many questions about potential investor harm, By Mark Schoeff, Jr.
InvestmentNews (June 29, 2023) - The report says more than half of investment advisors force their clients to go to arbitration to settle disputes, but it doesn't put a number on RIA arbitration…
SEC report raises red flags around RIA mandatory arbitration, By Andrew Foerch
CityWire (June 29, 2023) - While Finra-registered brokers are required by Finra to report any pending complaints, results of arbitration hearings and the existence of settlements, RIAs don't have to…
SEC Report on Forced Arbitration Clauses Finds RIA Clients at Disadvantage, By Ali Hibbs
WealthManagement (June 29, 2023) - Commissioned by the U.S. House Committee on Appropriations, the study confirms views that mandatory arbitration agreements imposed by fiduciary-bound RIAs can…