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.
NASAA and other regulators want in on systemic risk oversight
State-level financial regulators today urged Congress to set up a group of regulatory agencies to deal with systemic risk.
Finra pushes for public majority in arbitrations
In another sign that industry-affiliated arbitrators may be on their way out, the Financial Industry Regulatory Authority Inc. wants to stop using industry panelists in most cases involving a registered representative and a brokerage firm.
Low-quality market rally ripe for a reversal, observers say
The market's recent rally is likely to be short-lived.
Financial advisers face a crisis of confidence
Many financial advisers are suffering a crisis of confidence that is hurting their relationships with existing clients and hampering their abilities to recruit new clients.
Critics question whether endowment model should be used by individual investors
Some industry observers are questioning whether an endowment model of investing — as popularized by the Yale University endowment fund — should be used for individual investors.
SEC wants a few good industry pros for risk assessment
The Securities and Exchange Commission is recruiting Wall Street professionals to help its Office of Risk Assessment identify problem areas in the industry.
Merrill to give some low producers a break
Merrill Lynch & Co. Inc. is eliminating some of its “penalty box” payouts for low producers.
Small firms expand into institutional side
Some smaller broker-dealers are weathering tough times by diversifying into the institutional side of the business.
Regulators’ support of fiduciary standard raises doubts
Investor advocacy groups are dubious of securities regulators' support of a fiduciary standard of care for retail brokers.
Market participants struggle with P/E distortions
Market watchers are in a tizzy trying to figure out if U.S. equities are overvalued, fairly priced or the buy of a lifetime.
