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.

Fiduciary September 2024

Advisers, Planners, Experts, Scholars Assess the State of Fiduciary in 2024

Panels on September 11, 12, 17, 18, 24, 25 and 26

Announcements

Program Videos

  • Sept 11 Panel Video – “Should financial services organizations recognize sales production excellence of brokers or agents?”
  • Sept 12 Panel Video – “Kelly et al. v TIAA, the August 5th case rocking the pension world”
  • Sept 17 Panel Video – “The State of the DOL Retirement Security Rule”
  • Sept 18 Panel Video – “Leading a Team of Professionals – When and How Planners can best collaborate and lead the CPA, attorney and insurance “Financial Team”
  • Sept 24 Panel Video – “The SEC and Fiduciary Advice in 2024″
  • Sept 25 Panel Video – “Flat or AUM fees: What’s the difference, do consumers care?”
  • Sept 26 Panel Video – “Fiduciary advice: What’s it all about?”

Media Coverage and Related Content

  • “The ‘fiduciary’ movement’s lost mojo tracks with the rise of Reg BI”, Knut Rostad, RIABiz
  • Hello and Farewell, but not Goodbye: Remarks at the Meeting of the SEC Investor Advisory Committee, SEC
  • Frankel Fiduciary Prize Honors Bob Veres – more here
  • “What did we learn?”
  • ‘Streetfighting saint’ Bob Veres takes 2024 Tamar Frankel prize for decades of unstinting, sometimes ‘scathing’ commentary and a ‘secret sauce’ to ferret out facts – more here

About the Institute for the Fiduciary Standard

The Institute for the Fiduciary Standard is a not for profit formed in 2011 to provide research,
education and advocacy to consumers, policy makers and advisors on fiduciary principles and
practices. Fiduciary September is the largest annual conversation on the importance of fiduciary
advice. The Real Fiduciary™ Practices are written in plain language and set out what we believe
the most conscientious advisors and planners do. Visit www.thefiduciaryinstitute.org

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