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The Institute for the Fiduciary Standard

A resource site for investors, brokers, academics and the media.


Building a fiduciary culture of honesty, integrity, and expertise.

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Institute and Industry Leaders

CFA Society Orlando Interviews Tamar Frankel

By Knut Rostad on February 24, 2021

Chris Cannon, board member of the Institute’s Real Fiduciary™ Practices, interviews Boston University Professor of Law Emerita, Tamar Frankel.

Bob Veres Talks Fiduciary, Credits Institute Thinking on CFPB

By Knut Rostad on November 17, 2020

Commentary relates Fiduciary meaning like a Frankel or Rhoades; shies away from the 800 pound gorilla in the CFPB room.

Groups Urge More Time to Comment on DOL Rule

By Knut Rostad on July 10, 2020

Institute signs on to letter with 20 other advocacy groups requesting extension of comment period for DOL proposed rule.

Tamar Frankel Paper: “The Regulators’ Conflicts of Interest”

By Knut Rostad on June 15, 2020

Tamar Frankel

Tamar Frankel, Professor Law Emerita at Boston University, published a hugely important criticism of SEC’s Reg BI.

A Disappointing Move by the CFP Board

By Knut Rostad on March 3, 2020

CFP Board Logo

Many financial advisors today, including CFPs, call themselves “fiduciaries” but still possess conflicts of interest that are often not properly managed.

How Financial Planning Can Become a True Profession

By Knut Rostad on December 6, 2019

Man in Black Holding Phone by Snapwire via Pexels.com

by Ron A. Rhoades, JD, CFP®
There are many prerequisites to becoming a true profession. Have we satisfied those requirements? And if so – do we desire to take the next step – seeking true status as a profession through legislation?

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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

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