Four More Years? Fiduciary Proponents Need to Regroup
To prevent four more years of fiduciary gridlock in Washington, proponents of the fiduciary standard for all need to regroup. Proposed: four steps to change the discussion.
John Bogle: the Most Successful Wall St. Occupier
The founder of Vanguard and inventor of index funds’ greatest accomplishment may be yet to come: creation of a “fiduciary society.”
'The Fiduciary Reference' Delivered to SEC Call for Comments
'Must-read' papers include diverse views about fiduciary duty as applied to advice to investors.
Public Policy Forum to Discuss 'Fiduciary Duty in a Brokerage Setting'
The Committee for the Fiduciary Standard (the Committee), announced a Public Policy Forum: Applying the Fiduciary Standard to the Delivery of Investment Advice, to be held on September 24.
Call for Papers: Applying the Fiduciary Standard in a Brokerage Setting
The Boston University Review of Banking & Financial Law and The Committee for the Fiduciary Standard announced a "call for papers" to address applying the fiduciary standard to brokers who provide advice to individual investors.
Goldman Sachs, Suitability and the Fiduciary Standard
What duty does a broker/dealer have when creating securities for clients with opposing interests?
Reform Debate on Fiduciary Standard for FAs Heats Up
Perhaps the most controversial aspect of the bill would require brokers, and any other financial professionals holding themselves out as advice-givers, to adhere to a fiduciary standard similar to that of registered investment advisors.
"Federal" versus "Authentic" Fiduciary Duty
Both investment advisors and broker/dealer registered representatives routinely give financial and investment advice to clients. What is still different is the rules that protect those investors.