Board of Advisor member, Phyllis Borzi, Director, Jim Patrick, and Knut Rostad speak on a panel of the state of fiduciary in Las Vegas at the MarketCounsel Summit, December 6, 2018.
Jason Zweig: The Institute Does Good Work
MarketCounsel Summit, 12-5-18, on a panel discussion on where investors can get help on screening for a real fiduciary advisor.
Reg BI Still Looms Over Brokers … One State at a Time
Individuals familiar with the progress of the Reg BI rulemaking say the rule is expected to be completed next year, potentially before a September 2019 final action date posted with the database of the Office of Information and Regulatory Affairs within the Office of Management and Budget.
Testimony of Knut A. Rostad before the New Jersey Bureau of Securities
“Proposal Reg BI fails to explain best interest; however, it explains why conflicts can be beneficial” – Knut A. Rostad
Study Offers New Insights and Guidance for Reg BI
by Knut A. Rostad and Darren M. Fogarty — New insights into retail investor, financial reps misunderstandings of brokers and advisers.
Vanguard doesn’t get a free pass on this one
By Bob Veres, October 22, 2018 FinancialPlanning.com After Vanguard CEO Tim Buckley gave his startling keynote address at the Inside ETF’s conference in January (sole diamond sponsor: Vanguard), I received at least 30 email messages from advisors. Buckley’s words were certainly alarming: He said that Vanguard plans to attack financial planning and investment advice fees the […]
