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

White Papers

A Discussion of Some of the Differences Between the Regulatory Requirements of Brokers and RIAs

April 11, 2012 By Knut Rostad

A discussion of the differences in the standards of investment advisers and brokers is essential amidst the calls for “harmonizing” the two. This paper seeks to highlight how these two standards differ in terms of the legal requirements and duties imposed on advisers and brokers.

On the Regulation of Investment Advisory Services: Where do we go from here?

October 31, 2011 By The Institute

On July 14, 2011 SIFMA submitted comments to the SEC on a proposed framework for establishing a uniform fiduciary standard of conduct for broker-dealers. SIFMA’s proposal departs from the fiduciary standard as set forth under the Advisers Act of 1940 and, if adopted, would be particularly harmful to retail investors.

On the Regulation of Investment Advisory Services: Where do we go from here?

October 31, 2011 By The Institute

On July 14, 2011 SIFMA submitted comments to the SEC on a proposed framework for establishing a uniform fiduciary standard of conduct for broker-dealers. SIFMA’s proposal departs from the fiduciary standard as set forth under the Advisers Act of 1940 and, if adopted, would be particularly harmful to retail investors.

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Magic Johnson (left) and Knut A. Rostad
Magic Johnson (left) and Knut A. Rostad

Fiduciary Doings

Fiduciary Magic?

Magic Johnson and Knut Rostad share a light moment on fiduciary at the MarketCounsel Summit on December 5.

At the Summit, Rostad presented on the coming of the SEC's Reg BI, and the major impact on RIAs when brokers tell investors "The law requires I meet the best interest standard at all times."

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