Articles Posted in Florida

Last week, the Securities and Exchange Commission (SEC) amended standing rules regarding broker-dealer securities transaction settlement cycles. The new rules shorten the amount of time between when an investment transaction is placed and when it is actually processed. Previously, the transaction settlement cycle was set as “T+3”. This refers to the time, in days, that…

United States Citizenship and Immigration Services (USCIS) has received a sufficient number of petitions to reach the congressionally mandated H-2B cap for fiscal year 2017. March 13, 2017 was the final receipt date for new H-2B worker petitions requesting an employment start date before October 1, 2017. What Happens After Reaching the CapExcept as noted…

It’s Not Personal, Its Just Business In business, there are bound to be disagreements. Whether it is a contract dispute or failed negotiation, business disputes are going to occur. It’s usually not personal, but business disputes can be a major roadblock and source of stress, especially when handled improperly. Settling disputes fairly and effectively is…

Rate hikes on the way The Federal Reserve recently announced that interest rate hikes likely, causing trading and investing to slow. Fed Chairwoman, Janet Yellen will most likely announce increases later this week, with several more expected throughout 2017. Rates will likely increase 0.75-1.00 percent, initially, according to a Reuters report. The Fed’s announcement considerably…

Customer Advisory Centers vs. Call Centers Although they sound similar, customer advisory centers differ from call centers in several important ways. Securities firms and investment broker-dealers typically rely on call centers to handle basic customer service issues and administrative functions. They do not provide investment or trading advice, nor do they earn commissions on trades…

The Securities and Exchange Commission (SEC) has released an investor bulletin for investors to understand the fundamentals of robo-advisor investing, or the practice of using automated investment platforms. Robo-advisor investing has risen in popularity, especially among d-i-y and at-home investors due to the relatively low cost compared to traditional investing and expedited nature of deals.…

Senior Scams: Preying on the Nation’s Vulnerable Senior scams being perpetrated against some the country’s seniors and the elderly has been on the rise over the past few years. Seniors are especially vulnerable to fraud due to health issues or the natural effects of aging. A USA Today report states that a hotline set-up by…

U.S. stock markets continue to rally this week amid optimism around President Trump’s economic plans. Reaching a historic high on Monday, S&P 500 topped $20 trillion. This latest rally is a part of the ongoing boost stock market indices have been enjoying as economists wait for the Trump Administration to roll out its economic plan.…

Uncertain Future for Dodd-Frank Last week, President Trump ordered a review of major banking regulations put in place following the 2008 financial crisis, largely comprising Dodd-Frank regulations. President Trump has made clear that rollbacks are a main objective for these reviews. Though the executive order only calls for a review, the Trump administration aims to…

Setting a Record The Dow has done it. On Wednesday Jan. 25, the Dow hit a record high of 20,069 amid celebration from broker-dealers and investors alike. The 20k mark is an important milestone for the industrial market index. It not only represents the U.S. economy’s turnaround following the recession, but also the wave of…