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You are here: Home / Archives for Research / Academic Papers

Academic Papers

Mutual Fund Performance Advertising: Inherently and Materially Misleading?

By The Institute on December 30, 2011

Securities and Exchange Commission Seal

By Alan R. Palmiter & Ahmed E. Taha — Despite the fact that mutual funds’ past performance is not a good predictor of future returns, mutual fund companies routinely advertise the returns of their best funds.

Fiduciary Law in the 21st Century

By The Institute on May 1, 2011

Tamar Frankel

By Tamar Frankel — This paper was presented as part of a conference on fiduciary law at Boston University on October 29, 2010.

The Regulation of Brokers, Dealers, Advisors and Financial Planners

By The Institute on December 20, 2010

Securities and Exchange Commission Seal

By Tamar Frankel — The SEC, authorized by the Dodd-Frank Wall Street Reform and Consumer Protection Act, should impose a fiduciary duty on all brokers (and similar financial professionals) who suggest specific securities to clients.

An Investment Adviser’s Fiduciary Duty

By The Institute on August 1, 2010

Welcome to The Institute for the Fiduciary Standard

By Lorna A. Schnase — An investment adviser’s fiduciary duty derives primarily from common law and federal statutory law. There are two basic duties, those of care and loyalty. Some authorities list additional duties such as a duty of obedience, a duty to act in good faith, and a duty of disclosure.

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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.

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."

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