Gail from Maryland is an accomplished professional with a BS in engineering and finance and an MBA. She also had a terrible experience with a broker who Gail says betrayed her. Meet Gail. Hear her story. Note her courage to come forward.
Institute Initiatives
Actions and programs of the Institute. Visit the Institute Initiatives archive to view initiatives prior to 2018.
“Raise Your Voice” Campaign
Adviser Groups to RIAs: Show Your Independence. Explain to the SEC How You’re Different from Brokers
Institute leaders meet with SEC Chairman Jay Clayton June 19, 2018
Institute leaders meet with SEC Chairman Jay Clayton June 19, 2018
Small Investors: Dump Brokers’ “Incidental” Advice, Get Real Advice
The simple fact remains that investment advisers represent their clients and broker-dealers represent issuers. Investors deserve real advice. That’s why we formed the No Incidental Investors initiative.
2018 First Quarter Commentary
Recent regulatory and industry actions on fiduciary have come fast and furiously. Unfortunately, they are mostly bad news for investors. The exception: actions in the states. The takeaway: Investors are on their own to identify real fiduciary advisors, who are also on their own to stand apart from brokers. The Institute’s Best Practices and the Campaign for Investors are more important than ever. Here’s an update on these actions and what they mean.
Financial Advisors Provide Pro Bono Advice to October 1, Las Vegas Tragedy Survivors and Victims’ Families
Fiduciary, fee-only advisors from around the country today volunteered free financial advice to Las Vegas Tragedy survivors and victims’ families. A website serves to connect survivors and victim families who received funds with a financial advisor.
