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.
Firms slam Finra’s proposal to register operations staff
Finra's proposal with the SEC to register operations staff has not gone over big in the adviser community. Here's why.
Ousted Krawcheck could be bounced from Finra board
Last month, Sallie Krawcheck was elected to one of three large-firm governor's seats at Finra. There's just one hitch. Now that Krawcheck no longer works for BofA, she must quickly find a job at a large firm — or give up the seat.
B-Ds, RIAs face swarm of surprise regulations: Pershing
Pershing executives are warning about a bevy of new regulations and legislation that may blindside some B-Ds and RIAs
Alternatives present quandary for custodians
Custody firms are engaged in a delicate balancing act, trying to accommodate a growing number of alternative investments while at the same time implementing stricter eligibility criteria for accepting those assets
Will small B-Ds get a pass on audit reg?
Meeting tomorrow of PCAOB to take up inspection and funding program
RIAs: The struggle for advisory firms to maintain growth
RIA firms shouldn't expect the good times to last. After benefiting from strong equity markets in 2009 and 2010, registered investment advisory firms will be battling head winds for the next few years as they seek further growth, observers predict
Fidelity offering breakaway hybrids new services
Fidelity Investments is improving services for breakaway hybrid advisers who face bumps in setting up dual advisory and commission businesses, the fund giant announced today.
ADV-2: How much can you learn about your competitors now?
In addition to satisfying regulators, the wealth of information contained in revised ADV forms may be a gold mine of competitive intelligence
Can Ryan’s privatizing save Social Security?
The House Republican budget plan put forth last week by Wisconsin Rep. Paul Ryan marks the beginning of the debate on government entitlement reforms — a rancorous clash sure to play out through the next presidential-election cycle and beyond
Liquidating Lehman, Madoff won’t be a problem: SIPC
The Securities Investor Protection Corp. is taking issue with a warning from the SEC's inspector general that the cost of liquidating the Bernie Madoff firm and Lehman Brothers could deplete SIPC's reserve fund. Those cases won't be a problem, SIPC chief executive Stephen Harbeck said today.
