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.
Institute Initiatives
Actions and programs of the Institute. Visit the Institute Initiatives archive to view initiatives prior to 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
Leadership through Fiduciary Program
The Institute puts on a day-long program at the NAPFA Fall conference on the practices that differentiate fiduciary, fee-only advisors from sales brokers. Read more about the 2018 program here.
Letter to the SEC on Regulation Best Interest
Letter from Knut A. Rostad of the Institute for the Fiduciary Standard to SEC Chairman, Jay Clayton, regarding the Regulation Best Interest on August 6, 2018.
Fiduciary Adviser Groups to Host Virtual Press Conference
Several nationally recognized groups of fiduciary advisers on June 28, 2018, announced an initiative to urge RIAs (SEC and state registered investment advisers) to write the SEC (Securities Exchange Commission) and explain how independent financial advisers are different from brokers.
