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.
Some states give a break on the deadline for filing ADVs
Although many federally registered advisers were scrambling last week to meet the March 31 filing date for the new ADV Part 2 forms, state-registered advisers in several states, including Michigan, Pennsylvania and Texas, were enjoying a bit of a reprieve
Advisers grapple with regulatory disconnect
The frustration felt by advisers about the growing wave of regulation and failed attempts to influence policy erupted last week at a town-hall-style meeting in Las Vegas.
States pushing back ADV-2 deadlines
Although many federally registered advisers were scrambling to meet yesterday's filing date for the new ADV Part 2 forms, state-registered advisers in several states, including Michigan, Pennsylvania and Texas, were enjoying a bit of a reprieve.
Advisers may blow deadline on ADV-2 forms
Flooded with last-minute calls from registered investment advisers who haven't filed their new plain-English ADV Part 2 forms, compliance consultants estimate that a third or more of them will miss the Securities and Exchange Commission's Thursday deadline
Finra wants ADV-like form for brokers
Plain-English disclosure document would describe services, conflicts and limitations on duties
After quake, companies in Japan may start hoarding cash, nixing dividends
Recent trend of making payouts to shareholders could be derailed by disaster, says First Eagle portfolio manager
SEC should step up scrutiny of Finra: Report
This may come as no surprise to reps, but a report released this week said the Commission needs to dramatically beef up its oversight of Finra.
Former Merrill prez wins $1.2M award — but still loses
Fakahany was seeking $70M in claim against former employer; 'totally incorrect'
Third of advisers may blow ADV deadline
Maybe plain-English writin' ain't as easy as RIAs thought; better late than error
Lawyer crosses swords with Finra – and wins
It took a long time, but Kevin Carreno has been vindicated
