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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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Knut's Views

What if …. We Tell Investors the Truth? (Part 1)

By Knut Rostad on May 5, 2021

Rather than championing the mantra of “investor confusion,” the SEC should do as CFA Institute did: Tell investors the truth on how brokers and advisers differ.

Is Financial Planning a Profession? Does it Matter?

By Knut Rostad on February 10, 2021

Skip Schweiss wants planners and consumers to know financial planning is not yet a profession.

Gary Gensler: Joe Biden’s Joseph P. Kennedy

By Knut Rostad on January 14, 2021

If Gensler, who is uniquely well-suited for the task, becomes the SEC chairperson, it will harken back to the SEC’s origins.

SEC Holiday Cheer for Investors

By Knut Rostad on December 24, 2020

Knut A. Rostad

A year-end SEC order and statement by its staff on Reg BI exams are a positive signal for investors in need of fiduciary protection.

In Praise of Janet Yellen

By Knut Rostad on December 15, 2020

Yellen checks many boxes – her scholarship, prior government experience and reputation in Washington.

Students Worry About Being Corrupted on Wall Street

By Knut Rostad on October 21, 2020

Knut Rostad summarizes his recent interview with Princeton lecturer JC de Swaan on virtue in finance.

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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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