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You are here: Home / Archives for Must Reads

Must Reads

Important articles on the fiduciary standard.  Visit our Must Reads archive page to read older articles.

Maryland Lawmakers Get Earful On Proposed Broker Fiduciary Rule

By The Institute on March 13, 2019

Maryland House Chambers

Knut Rostad, founder of the Institute for the Fiduciary Standard, directed Maryland lawmakers to his group’s website, where real investor “Gail from Maryland” tells her story of being ripped off by an abusive broker.

Opponents of Maryland fiduciary bill tell lawmakers to wait on SEC

By The Institute on March 13, 2019

Maryland House Chambers

Knut Rostad praised the Maryland (fiduciary) bill, saying it would provide better investor protection than the SEC proposal.

As states clash with feds over fiduciary, regulation jitters rise

By The Institute on March 1, 2019

Dave Parker [CC BY 3.0 (https://creativecommons.org/licenses/by/3.0)]

First the Labor Department’s fiduciary rule collapsed. Then the SEC proposed Regulation Best Interest, a new broker regulation that left many investor advocates wanting more.

NASAA Goes To Capitol Hill Pushing Tougher SEC Regs On Brokers

By The Institute on February 28, 2019

Rayburn House Office Building - Public Domain

The North American Securities Administrators Association is escalating its call for tougher broker sales regulation, scheduling a Capitol Hill briefing for lawmakers, regulators and the media on March 5.

Why Should I Care if My Financial Advisor is a Fiduciary?

By The Institute on February 21, 2019

US House Committee - Via Wikimedia

Why should you as an investor care if your financial advisor is a fiduciary? Here are some thoughts on this for those looking for a financial advisor or who are already working with one.

Maryland bill would impose fiduciary duty on brokers, insurance reps

By The Institute on February 9, 2019

Maryland House Chambers

New Maryland bill would require financial professionals to act ‘without regard to’ their own financial gains

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Fiduciary Doings

Tamar Frankel and Phyllis Borzi

 

The Institute organized a meeting to discuss common interests on Reg BI, the states and advocacy on January 16 in Washington. 22 leaders from nine advisor and consumer advocacy organizations attended.

Here, Phyllis Borzi (left) and Tamar Frankel, Institute Board of Advisor members, are seen readying to depart an Institute dinner, the evening before, where they led discussions.

 

Clark Blackman (left) and Chris Cannon, Real Fiduciary Practices Board members

 

Fiduciary Institute colors fly at CFA Institute conference. Clark Blackman (left) and Chris Cannon, Real Fiduciary Practices Board members, wear their 'Fiduciaries Rock' hats at the CFA event in Fort Lauderdale.

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