Dan Jamieson
Dan was Senior Editor at InvestmentNews from 2005 to 2013, before moving on to become Editor at large for Financial Advisor magazine. Check out his video bio here. Connect with him at LinkedIn here.
What Kelly’s exit means for Pershing
The surprise departure of the CEO of BNY Mellon does not indicate any change of strategy for the custody bank -- or its clearing unit -- said a Pershing insider.
Tougher 401(k) rules seen as ‘full employment act’ for RIAs
As the Labor Department prepares to issue stricter rules for the retirement fund industry, financial advisers at RIA firms are licking their chops over the prospect of poaching business from broker-dealers and insurance agents
B-D compliance burden growing, Pershing says
Pershing LLC, the industry’s biggest player in clearing and the No. 4 firm in the RIA custody business,…
2010 pay steady for SRO execs; firm fees rose
Salaries for Finra executives are holding steady. Regulatory fees for broker-dealers, on the other hand, aren’t.
Larry Hagman’s ex-MSSB broker jumps to Wedbush amidst dispute
Lisa Detanna, a former broker at Morgan Stanley Smith Barney LLC who became embroiled in an arbitration claim filed by actor Larry Hagman, has moved to Wedbush Securities Inc. in Los Angeles.
Why so few breakaways? Too much regulation, says Pershing exec
Because the barrier to going independent is 'higher than ever,' claims Pershing's Mark Tibergien. He may be on to something.
SEC OKs controversial registration plan for back-office workers
Finra-crafted rule creates new license for administrative personnel; exam mandated
Candidates for Finra board seek to qualify
Four potential candidates for a small-firm seat on the board of the Financial Industry Regulatory Authority Inc. are scrambling to qualify for the upcoming ballot.
Finra to update adviser exams
Finra yesterday began surveying registered representatives and principals about their job functions as a first step in updating qualification exams.
Scramble for signatures, sniping mark Finra board campaign
Small-firm board seat up for grabs; Friday deadline fast approaching
