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Fiduciary Advocates to Discuss DOL Hearing at 3:30 PM on Thursday

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After Democratic, Republican Conventions, hearing is ‘DOL Fiduciary Convention’; hear and question panel of fiduciary leaders on testimony

Washington, D.C., September 1, 2020 – Attend a news roundup on the ‘DOL Fiduciary Convention’.

The Institute for the Fiduciary Standard will host a panel discussion on the DOL hearing on, the proposed rulemaking entitled “Improving Investment Advice for Workers & Retirees.” The panel will immediately follow the hearing, AKA the ‘DOL’s Fiduciary Convention’ on Thursday at 3:30 PM.

What: Panel discussion of DOL hearing on proposed fiduciary rulemaking

When: Thursday September 3 at 3:30 PM (or, immediately following hearing adjournment)

Where: Conference call: 857-232-0159; 626004

Who: Phyllis C. Borzi, Former Assistant Secretary, DOL (Subject to scheduling)
David Certner, Director of Legislative Policy, AARP
Ron A. Rhoades, Associate Professor of Finance, Western Kentucky University
Norman Stein, Pension Rights Center
Knut A. Rostad, Institute for the Fiduciary Standard

Download a copy of the September 1st Press Release.

Dan Moisand

 

Dan Moisand is a nationally recognized fiduciary fee-only financial planner, an Institute Real Fiduciary™ Advisor and Chair-elect of the CFP Board.

The Institute has enshrined the ‘Moisand Rule’ on fiduciary practices. It is basic and is more important today than ever: “You have to avoid conflicts. If I avoid a conflict, I don’t worry about it.”

Watch the video of Moisand speaking here.

Bob Veres

 

Bob Veres is a long term observer of financial planning. His Newsletter, “Inside information” Is a staple of leading planners. In the May edition he writes about fiduciary and the Institute.

"But a much bigger point is that the fiduciary standard—as Knut Rostad of the Institute for the Fiduciary Standard has pointed out—has been determined by the Supreme Court (1963 ruling) to be at the very heart of the Investment Advisers Act of 1940. It is the foundation of what it means to be an RIA registered with the SEC instead of a tipster or a tout."

- Bob Veres, Parting Thoughts ... The SEC's Own Compliance Culture