Capital Gains Research Bureau

• 

  Principles vs. Rules: The Fiduciary Debate in a Nutshell

  By James J. Green, AdvisorOne  |  October 25, 2012

  At TD Ameritrade conference, CFA's Roper, IAA's Tittsworth and SIFMA's Carroll agree, disagree and look ahead at fiduciary standard, SRO for RIAs.

• 

  Scope of the Fiduciary Duty Owed by Investment Advisors

  By Les Abromovitz  |  January 1, 2012

  A fiduciary obligation goes beyond the suitability standard typically owed by registered representatives of broker-dealer firms to clients. The relationship is built on the premise that the advisor will always do the right thing for the person or entity receiving advice.

• 

  U.S. Securities and Exchange Commission Information

  By Les Abromovitz  |  January 1, 2012

  This information sheet contains general information about certain provisions of the Investment Advisers Act of 1940 and selected rules under the Adviser’s Act.  It also provides information about the resources available from the SEC to help advisors understand and comply with these laws and rules.