By Knut A. Rostad and Darren M. Fogarty
MiFID II’s standard raises the transparency bar well above the U.S. SEC’s proposed Regulation BI and Form CRS.
Institute Initiatives
Actions and programs of the Institute. Visit the Institute Initiatives archive to view initiatives prior to 2018.
Testimony to the Maryland Senate Finance Committee
Testimony of Knut A. Rostad . President & Co-Founder Institute for the Fiduciary Standard, March 13, 2019, to the Maryland Senate Finance Committee on SB 786 and House Economic Matters Committee on HB 1127 on Section 5.
Conventional Wisdom Says a Major Problem is “Investor Confusion” About Brokers and Advisers; Is This the Whole Story?
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.
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.
Testimony of Tamar Frankel Before the N.J. Bureau of Securities
Testimony of Tamar Frankel, LL.M. S.J.D. Professor of Law EmeritaBoston University School of LawBefore the N.J. Bureau of Securities Re: Fiduciary Duty/Pre-Proposal on November 19, 2018
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
