PIABA Newsroom

COMMENT LETTER: California AB 783 - Proposed New Corporations Code Section 25102(r) Exemption, Advertising (April 17, 2013)
COMMENT LETTER: SR-FINRA-2013-018 - Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information) (April 15, 2013)
COMMENT LETTER: Regulatory Notice 13-07 - Proposed FINRA Rules Governing Markups, Commissions and Fees (March 26, 2013)
COMMENT LETTER: Regulatory Notice 13-02 - Proposed Rule to Require Disclosure of Conflicts of Interest Relating to Recruitment Compensation Practices (March 5, 2013)
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In the Media

PIABA Loses FOIA Suit Against SEC Seeking FINRA Arbitration Program Records
SAC.com (November 20, 2014) -- Right after we went to press last week came news that the D.C. Circuit had ruled against PIABA in its suit against the SEC seeking disclosure under the Freedom of…
Federal Court Kills PIABA FOIA SEC Demand For FINRA Records
Federal Court Kills PIABA FOIA SEC Demand For FINRA Records, by Bill SingerBrokerAndBroker.com (November 17, 2014) -- According to the homepage of The Financial Industry Regulatory Authority ("FINRA…
U.S. court affirms SEC stance on withholding Wall Street arbitration records
todayonline.com (Reuters) (November 14, 2014 12:17 am) - The U.S. Securities and Exchange Commission does not have to release records about its supervision of Wall Street's arbitration process to a…
DC Circ. Says SEC Can Withhold FINRA Arbitration Docs
DC Circ. Says SEC Can Withhold FINRA Arbitration Docs, by Stephanie Russell-KraftLaw360, New York (November 14, 2014, 1:40 PM) -- The U.S. Securities and Exchange Commission may withhold documents it…
The SEC Gets To Keep Its Wall Street Secrets, by Suzanne Barlyn
BusinessInsider.com (Reuters) (November 14, 2014, 12:38 pm) -- The U.S. Securities and Exchange Commission does not have to release records about its supervision of Wall Street's arbitration process…
U.S. court affirms SEC stance on withholding Wall Street arbitration records, by Suzanne Barlyn
WebRadar (Reuters) (November 14, 2014 11:51 am) - The U.S. Securities and Exchange Commission does not have to release records about its supervision of Wall Street's arbitration process to a group of…
U.S. court affirms SEC stance on withholding Wall Street arbitration records, by Suzanne Barlyn
Reuters (November 14, 2014 11:51 am) - The U.S. Securities and Exchange Commission does not have to release records about its supervision of Wall Street's arbitration process to a group of investors…
UPDATE 1-U.S. court affirms SEC stance on withholding Wall St arbitration records, by Suzanne Barlyn
(Adds detail in 5th paragraph on judge's concurring opinion; comment from PIABA's lawyer in 7th paragraph)Reuters (November 14, 2014 11:50 am) -- The U.S. Securities and Exchange Commission does not…
SEC not required to release exam records for FINRA arbitrations, by By Rodney F. Tonkovic, J.D.
dailyreportingsuite.com (Securities Regulation Daily) (November 14, 2014)  -- The D.C. Circuit has held that the SEC can invoke the Freedom of Information Act to withhold documents collected from…
COMPLY-Investors' lawyers to tackle brokerage insurance mandate, By Suzanne Barlyn
Reuters (November 6, 2014 3:26 pm) - (Adds comment by FINRA, paragraph 8) When a couple that ran a Marietta, Georgia-based securities brokerage went bankrupt late last month, it caused a ripple…