Dan is a business journalist who previously worked for various local newspapers and industry publications. He also worked for two years in Beijing as an editor at China Daily. A graduate of the University of Missouri-Columbia, he has written about banking, local governments and the legal profession, among other subjects. He now covers how politics, policy and regulation affect the financial planning industry.
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The last-minute changes would loosen inspection requirements but add limits to the type of business brokers can do from home.
April 5 -
The $2.4 billion request for the Wall Street regulator would put 1,434 officers on the compliance beat, up 4% from seven years ago.
April 4 -
The SEC and DOJ accused a New Jersey-based broker of using insider knowledge to make more than $3.4 million from a scheme involving special purpose acquisition companies.
April 3 -
The case shines light on the risks of betting against a company's stock when merger or privatization deals are afoot.
March 31 -
Compliance experts say financial advisors who boast publicly about their investment prowess should make sure they have support for their claims.
March 29 -
In an unusual case, regulators have accused a Boston investment advisor of violating his fiduciary duty by putting his clients into high-fee retirement products.
March 21 -
The annual advertising splash by the standard-setting group for financial advisors coincides with the March Madness basketball tournament and tax filing deadline.
March 20 -
An advisor group warns the cybersecurity regulation is coming amid a flurry of proposals that could leave firms buried.
March 17 -
Employees of the collapsed bank are using LinkedIn, and old-school means, to find new jobs.
March 16 -
Headhunters are finding that many employees of the cratered bank's wealth management arms are waiting to see what happens to the parent firm before plotting their next moves.
March 15 -
The panel plans to take through 2024 to complete its 'everything's-on-the-table' review of experience, education and exam standards.
March 13 -
The test for independent advisor representatives will have novel sections on IPOs and SPACs.
March 10 -
The industry's fastest-growing business model puts two very different functions under one roof. Are investors — and advisors — clear on the differences?
March 9 -
A new study by FINRA and NORC offered encouraging signs that people who put money into stocks and bonds for the first time in 2020 are in it for the long run.
March 8 -
Two brokers who left Charles Schwab to join the rival firm thought they were safe to bring their client books with them. FINRA says they were wrong.
March 6 -
John Poulos, a representative of a Vanguard subsidiary, temporarily loses the professional credential after being accused of murdering his 23-year-old girlfriend on a visit to her in Bogota.
February 28 -
Despite its brokers' alleged Regulation Best Interest violations, Laidlaw & Company's latest brush with regulators was handled under FINRA's old suitability standard.
February 23 -
The founders of the Financial Professionals Coalition contend that most industry groups back firms and big players. They plan to stand up for the little guy.
February 21 -
Lawyers and compliance experts say advisors and brokers should still put clients' interests first when considering taking money out of a 401(k).
February 17 -
A proposed amendment to the Investment Advisers Act would require planners to vet third-party custodians before entrusting them with clients' cryptocurrency, real estate or other alternative investments.
February 15
