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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 Initiatives

Actions and programs of the Institute.  Visit the Institute Initiatives archive to view initiatives prior to 2018.

Forget the F-word — RIAs play down fiduciary standard online

By Knut Rostad on September 30, 2020

InvestmentNews

A review of 45 fee-only advisers by the Institute for the Fiduciary Standard shows only 14 of them mention the term on their website homepages.

Ron A. Rhoades Wins 2020 Frankel Fiduciary Prize

By Knut Rostad on August 28, 2020

Ron A. Rhoades is the 2020 honoree of the Frankel Fiduciary Prize, named after Law Professor Tamar Frankel.

Institute Letter to SEC Calls for New Thinking on Disclosure

By Knut Rostad on July 1, 2020

Securities and Exchange Commission Seal

Plain language, testing and new technologies must be marshaled to battle systemic complexity in increased disclosure of Reg BI era.

New “Fiduciary Common Sense” guidance helps investors find fiduciary advisors

By Knut Rostad on June 19, 2020

Introduction Part of the “After the Advisers Act” initiative that The Institute has launched is the creation of new tools to help investors “Find a Fiduciary.” These tools can be used by fee-only, fiduciary advisory firms, and advisor advocacy groups, to promote why it is vital that investors choose to work with a fiduciary. E-Book […]

After the Advisers Act: What the New SEC and CFP Board Standards Mean for Investors

By Knut Rostad on June 18, 2020

investment advisers act of 1940

Two articles and a webinar speak to how the SECs’ and CFP Boards’ new standards depart from the Advisers Act of 1940.

Institute Paper: SEC, CFP Board Standards Abandon Advisers Act Principle that Treats Sales and Advice Differently

By Knut Rostad on April 15, 2020

investment advisers act of 1940

Regulators treated brokerage sales and fiduciary advice differently for years, stressing the harms and risks of conflicts of interest. Avoiding conflicts, if at all possible, was the norm. That was yesterday.

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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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