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    Leadership & Team

    Dawn
    Thomason

    Chief Compliance Officer

    Dawn Thomason is the Chief Compliance Officer at USA Financial, joining the firm in 2008. She oversees the compliance department and the team responsible for regulatory audit and response (FINRA and SEC), policy creation and new rule implementation, branch inspections, and advertising review across all registered entities.

    Dawn brought experience in the banking industry prior to joining the team at USA Financial. In her previous roles, she started out on the New Business team where she conducted suitability review for new account applications and supported the trade desk. She quickly transitioned into an advertising compliance role where she picked up review and approval of various back-office functions such as OBA review, vendor due diligence, performance reporting, and ad hoc compliance issues.

    Dawn graduated from Purdue University with a Bachelor of Science degree and has a CIPM (Certificate in Investment Performance Measurement) from CFA Institute. She spends as much time as she can outside of work with family. She has three boys and making memories with them is important. Weekends are usually spent at travel soccer tournaments or basketball games. When the weather warms up and summertime arrives, you can find her enjoying the pool, riding ATVs, and having bonfires with family.

     
    Dawn Thomason | USA Financial
    Contact Information
    (888) 444-0125 ext. 467
    Recent Posts
    Common Compliance Questions about Testimonial Use
    Compliance + Regulation

    Common Compliance Questions about Testimonial Use

    As is fitting for a compliance-themed article, we will start with a disclaimer: We are going to discuss the compliance rules around testimonials that our compliance department has determined for our affiliated advisors. However, different Registered Investment Advisors may interpret the Rule and/or have policies that do not match the information in this blog surrounding testimonial and endorsement use in advisor marketing materials. So, please know that you should reach out to your own firm with questions before taking action on using testimonials in your marketing materials.
    3 Marketing Steps to Leverage Reg BI
    Compliance + Regulation

    3 Marketing Steps to Leverage Reg BI

    The financial industry saw a shift when the Securities and Exchange Commission (SEC) adopted a new rule under the Securities Exchange Act of 1934. This rule established a new standard of conduct for broker-dealers and their registered representatives. Known as “Regulation Best Interest,” or “Reg BI”, this regulation enhanced the broker- dealer standard of conduct beyond existing suitability obligations.
    Is the Latest (2024) DOL Fiduciary Rule Dead?
    Compliance + Regulation

    Is the Latest (2024) DOL Fiduciary Rule Dead?

    In recent developments, two U.S. District Courts in Texas have issued stays on the enforcement of the new fiduciary regulations and associated prohibited transaction exemptions, as set forth by the U.S. Department of Labor (DOL) in April 2024. These regulations, intended to take effect on September 23, 2024, are now delayed indefinitely. Does that mean it’s dead? Not necessarily, but it definitely appears to be on life support.