Industry scholars discuss the recent FINRA report on Reg BI and Form CRS, based on FINRA’s own exams revealing significant shortfalls.
Institute Initiatives
Actions and programs of the Institute. Visit the Institute Initiatives archive to view initiatives prior to 2018.
Institute Podcast Series
Kaleb Paddock, CFP® and Anne Marie Ashworth, CFP® discuss how a fiduciary avoids and mitigates conflicts of interest.
Harold Evensky to SEC: “CHANGE THE DAMN NAME” of Regulation Best Interest
Evensky, financial and investment advice pioneer, author and professor, urges SEC to rename the Reg BI, ‘New Suitability’
Forget the F-word — RIAs play down fiduciary standard online
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
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
Plain language, testing and new technologies must be marshaled to battle systemic complexity in increased disclosure of Reg BI era.