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.
GOP gains might boost Finra’s regulatory reach
A provision left out of Dodd-Frank that would have given the Financial Industry Regulatory Authority Inc. oversight of…
Ketchum to SEC: Finra can oversee advisers
Self-regulator would set up separate affiliate to monitor FAs, dramatically increase frquency of exams
Audits for RIAs less frequent, tougher and ‘kind of mean’
Dodd-Frank will lead to changes in the SEC's adviser exam program, according to Robert Stype, managing partner at ACA Compliance Group
GOP gains might boost Finra’s regulatory reach
Rep. Spencer Bachus (pictured) is now in line to head the House finance committee -- and he's been a key supported of an SRO for financial advisers
Finra floats ADV form for brokers
In yet another sign of the move toward regulatory harmonization, the Financial Industry Regulatory Authority Inc. has asked for input on how to create an ADV-like form for broker-dealers.
Finra critic gets tax law passed
Elton Johnson, owner of Amerivet Securities Inc., has made a name for himself by being a thorn in the side of the Financial Industry Regulatory Authority Inc.
TD’s Bradley: Broker or adviser – choose one
As the Securities and Exchange Commission wrestles with the task of defining a standard of care for anyone who gives investment advice to retail clients, executives at TD Ameritrade Inc. aren't having a difficult time with the issue.
Regulators cracking down on advisers’ outside business deals
The brokerage industry is facing a crackdown on the practice of selling away, as firms and regulators — still fearful of undetected frauds — dig deeper into the outside business activities of registered representatives.
TD Ameritrade assets up, profits down
TD Ameritrade Holding Corp. saw its client assets rise to a record level, but its profits still fell in the latest quarter. (CEO Fred Tomczyk, pictured above.)
TD Ameritrade to offer commission-free ETF trades on 100 funds
Brokerage TD Ameritrade has begun offering commission-free ETF trades on more than 100 different funds that have bee chosen by Morningstar.
