Practice

Advisors Tony Noisom and Chris Musino joined Raymond James from Wells Fargo in Coral Gables

The Securities and Exchange Commission released its report on May 6’s so-called Flash Crash, but did little else to clarify whether there was any malfeasance involved or whether the report would eventually lead to changes in the way trading is regulated.

Commissioners detail the trade that sunk the market, but won't comment on whose fault it was or what they're doing to fix the problem.

The joint report of the Commodity Futures Trading Commission and the Securities and Exchange Commission on the May 6 Flash Crash is out; and, as expected, the trigger event was found to be a large, programmed effort by a mutual fund complex to sell E-Mini contracts.

Two weeks after announcing a new 529 college savings partnership with the state of Nevada, Putnam Investments said it plans to expand sales of the program nationally.

Securities and Exchange Commission Chairman Mary Schapiro said Thursday the federal regulator could possibly issue new proposed shareholder corporate governance and executive compensation reform rules “in the next few weeks."

As the battle rages over harmonizing regulation under fiduciary standard, are more rules really the answer?

Many pre-retirees have “no idea” when they will be able to retire.

A closer examination of why (and why not) annuities belong in a 401(k) plan.

The Securities and Exchange Commission plans to launch its new office of municipal securities by the end of October, chairman Mary Schapiro said in prepared testimony presented to the Senate Banking Committee Thursday.