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.
Startup costs for Schwab franchises revealed
Although Charles Schwab has been readying its branch-franchising program for some time, few specifics have been released. But documents obtained by InvestmentNews reveal the estimated startup costs, along with Schwab's expected take.
More wirehouse brokers expected to bolt this year
More brokers should shift to the independent RIA channel this year as markets stabilize and retention deals wind…
Complex investment products to see more scrutiny
Finra 'puts firms on notice' about their internal supervisory procedures regarding complex investment products
An intriguing idea: Let RIAs hire their own examiners
Regulators and RIAs would be better off if the latter were allowed to hire their own examiners — at least that's what one Georgetown professor contends.
Supreme Court smacks down B-D’s suit against Finra
Plaintiff argued that proxy soliciting member approval for NYSE combo was fraudulent
Schwab unveils 401(k) product boasting index funds
In a much-anticipated move, Charles Schwab late on Tuesday said it is launching a 401(k) product that features index funds. An ETF-version of the low-cost offering, dubbed Index Advantage, is due next year.
TD Ameritrade rakes in $10.2B in net new assets in the fourth quarter
TD Ameritrade Institutional is helping its parent company bring in higher levels of net new assets.
Mind your social-media compliance programs: SEC
Finra has warned investment advisers to examine the effectiveness of their social-media compliance programs based on findings from recent SEC adviser examinations.
Tweet away: Finra backs off social-media posting regs
The Financial Industry Regulatory Authority Inc. has backed away from a proposal that would have required broker-dealers to file social-media postings with the regulator.
B-D wants Supreme Court to rule on Finra suit
Can a brokerage firm sue Finra? That's a question one broker-dealer is asking the Supreme Court to consider.
