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Adviser and Broker Dealer Standard of Conduct

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Adviser and Broker Dealer Standard of Conduct: For generations, the Advisers Act of 1940 has served well as a “contract” between advisers and their clients. The Commission’s rulemaking here effectively puts this “contract” under review and renewal.

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Magic Johnson (left) and Knut A. Rostad
Magic Johnson (left) and Knut A. Rostad

Fiduciary Doings

Fiduciary Magic?

Magic Johnson and Knut Rostad share a light moment on fiduciary at the MarketCounsel Summit on December 5.

At the Summit, Rostad presented on the coming of the SEC's Reg BI, and the major impact on RIAs when brokers tell investors "The law requires I meet the best interest standard at all times."

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