By Knut A. Rostad and Darren M. Fogarty — Investors misunderstand how brokers and advisers differ because the information they get from the industry is unclear or misleading.
Blog
SEC’s latest on fiduciary: Advisers can customize individual client agreements
Disclosure and informed consent can limit services, allow third-party pay
Clayton slims down SEC agenda, looks for more wins
The SEC is on track to finalize its standards of conduct for investment advisors and brokers next year, Chairman Jay Clayton indicated on Wednesday, calling those rules “a very important and long overdue initiative.”
Institute leaders speak on state of fiduciary at MarketCounsel Summit
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.