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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.

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Institute & Industry Leaders

Borzi on Scottrade

By Knut Rostad on March 18, 2018

Phyllis C. Borzi

Phyllis Borzi, former Assistant Secretary for the Department of Labor, speaks to WealthManagement’s Diana Britton on the story behind the story of the getting the DOL Rule down the mountain and through the finish line to win the gold medal.

Financial Advisors Provide Pro Bono Advice to October 1, Las Vegas Tragedy Survivors and Victims’ Families

By Knut Rostad on February 6, 2018

Las Vegas Survivor Project Partner Organizations

Fiduciary, fee-only advisors from around the country today volunteered free financial advice to Las Vegas Tragedy survivors and victims’ families. A website serves to connect survivors and victim families who received funds with a financial advisor.

You’re on your own now

By Knut Rostad on December 26, 2017

JOSHUA M. BROWN

The Consumer Financial Protection Bureau has undergone a bit of a makeover. It’s no longer actually meant to regulate the financial services industry as it pertains to the treatment of Main Street – it has been transformed into an advocacy for the banks, credit card issuers, insurance companies, mortgage originators and brokerage firms against what it sees as overzealous regulation and job-killing oversight.

Tamar Frankel to Receive Ruth Bader Ginsburg Lifetime Achievement Award

By Knut Rostad on November 15, 2017

Tamar Frankel

Professor of Law and Michaels Faculty Research Scholar Tamar Frankel has been selected to receive the Ruth Bader Ginsburg Lifetime Achievement Award from the American Association of Law School’s (AALS) Section on Women in Legal Education.

Mark Tibergien, CEO of Pershing Advisor Solutions

By Darren Fogarty on September 21, 2017

Mark Tibergien

In an interview with Barron’s published in the Wall Street Journal on Tuesday, September 19, 2017 by Cheryl Winokur Munk, Tibergien answers a few questions about the future face of the RIA Industry.

Daylian Cain NYU Presentation

By Knut Rostad on July 29, 2017

Daylian Cain

Yale business professor, Daylian Cain, is a prolific researcher on conflicts of interest. His notoriety in investment advice policy circles was further enhanced when the Obama administration cited his work in 2015, as it argued for the DOL Conflicts of Interest Rule.

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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

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