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…
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…
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…