Fed Implores Congress to Preserve Key Financial Regulations

In his remarks to Congress, out-going New York Federal Reserve President William Dudley implored lawmakers to preserve and maintain key financial regulation measures in face of growing support for review of standing requirements. Dudley recently announced his decision to retire from his position earlier (mid-2018) than his term allots. According to a Reuters article, part … Continue reading Fed Implores Congress to Preserve Key Financial Regulations »

The Necessity of Profit/Loss Plans

Investment planning. The thought sends shivers down the spines of many an investor. In fact, many don’t even want to think about it and will gladly pay someone else to do that for them. However, taking a hands-on approach to your investments provides an extra surety against incurring extensive losses in the event that an … Continue reading The Necessity of Profit/Loss Plans »

Wrap Fee Compliance Woes for Raymond James

Raymond James & Associates along with a Milwaukee-based investment firm, Robert W. Baird & Co. reached a settlement over penalties regarding wrap fee compliance with the Securities and Exchange Commission (SEC) last week. The SEC had charged the long established St. Petersburg, FL-based investment firm with violating Section 206(4) of the Investment Advisers Act of … Continue reading Wrap Fee Compliance Woes for Raymond James »