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The Institute for the Fiduciary Standard

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You are here: Home / Archives for Research

Research

Institute Comment Letter to Iowa Insurance Divison on “Best Interest Standard of Care for Insurance and Securities Professionals”

By The Institute on April 28, 2020

The Institute submitted a comment letter to the Iowa Insurance Division on its proposed rulemaking in light of SEC’s Reg BI.

Jay Clayton: Reg BI Still Coming June 30th

By The Institute on April 3, 2020

Jay Clayton

SEC staff to issue two “Risk Alerts” for further guidance.

Meeting with SEC Commissioner Allison Lee

By The Institute on March 26, 2020

Photo by AgnosticPreachersKid, distributed under CC BY-SA 3.0

On March 26, there was a half-hour conference call with the Institute, Moneta Group Investment Advisors, Creative Planning, Modera, Abacus Planning Group, the Alliance of Comprehensive Planning, and Western Kentucky University.

Debate Counter Point: “Testimonials and Endorsements Won’t Help Investors”

By The Institute on February 27, 2020

Karen Barr and Knut Rostad take opposite sides of the timely debate on advisor advertisements with testimonials and endorsements.

Regulatory Action: Letter to SEC Opposing Lifting Current Ban on Testimonials and Endorsements

By The Institute on February 10, 2020

Photo by AgnosticPreachersKid, distributed under CC BY-SA 3.0

There may be parts of the SEC’s 1961 advertising rule that deserve updating. The ban on testimonials and endorsements is not one of them.

Time for Advisers to Speak to Us in Plain English, writes WSJ’s Jason Zweig

By The Institute on October 20, 2019

adviser investor complicated

The SEC is making financial information simpler. But it’s not yet simple enough.

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Institute & Industry Leaders

 

Chris Cannon, board member of the Institute's Real Fiduciary™ Practices and CFA Society Orlando, interviews Boston University Professor of Law Emerita, Tamar Frankel.

Frankel explains what led her to spend her career focusing on fiduciary law, what it means to be a fiduciary, and what conflicts of interest exist within the advisory space. She then offers her thoughts on what regulators should do to help eliminate these conflicts.

Carolyn McClanahan

 

"With the advent of 401(k)s and the decimation of pension plans to ensure financial security in old age, a fiduciary standard is more important than ever. The public needs to be confidant that advisors helping them plan for their retirement years always and only act in their best interest as a fiduciary. I'm happy to endorse organizations such as the Institute for the Fiduciary Standard that promote protections for those who need to secure their financial future."

- Carolyn McClanahan, Founder of Life Planning Partners

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