Candid conversation with John Taft of SIFMA on conduct standards.
Professional and Personal Financial Planning
By Jeffrey W. McClure, CFP® — An excellent paper on the origins, meaning and importance of professions, and the status of financial planning as a profession.
Knut Rostad’s New Book Celebrates Bogle
ETF.com interviews Knut Rostad about his new book on John C. Bogle, “The Man in the Arena.”
Wall Street in Crisis: A Perfect Storm Looming
Labaton Sucharow’s second annual 2013 survey of the U.S. financial sector emphasizes the need for transparency, fairness, and accountability.
The Fiduciary Obligations of Financial Advisors Under the Law of Agency
By By Robert H. Sitkoff — “Whether a financial advisor is an “investment advisor” or a “broker” (or neither) under the federal securities laws, an advisor may be an agent under the common law of agency.”
Selling Advice And Creating Expectations: Why Brokers Should Be Fiduciaries
By Arthur B. Laby — Because investors reasonably expect that brokers will, in fact, operate in a fiduciary capacity, the SEC should impose a fiduciary duty on brokers that give investment advice.
