Institute for the Fiduciary Standard

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  First Investor Protection Test for SEC’s White: FINO Over Fiduciary?

  By Knut A. Rostad  |  April 16, 2013

  The Institute for the Fiduciary Standard argues that SEC assumptions would usher in the era of the FINO—fiduciary in name only.

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  Fiduciary in Name Only? Applying the Fiduciary Standard to Your Business

  By Mark Tibergien  |  April 1, 2013

  When RIAs commit unethical acts against clients, they are FINOs—Fiduciaries In Name Only. Here's how to apply the fiduciary standard not only to how you serve clients, but how you run your business.

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  Four More Years? Fiduciary Proponents Need to Regroup

  By Knut A. Rostad  |  January 10, 2013

  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.

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  Why Cost Disclosure Might Actually Work for Clients and Advisors

  By Bob Clark, AdvisorOne  |  November 20, 2012

  Knut Rostad may well have hit upon one of the few instances when full disclosure could prove to be a tremendous benefit to clients.

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  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.

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  Breach of Fiduciary Duty Most Common FINRA Complaint

  By Melanie Waddell, AdvisorOne  |  October 23, 2012

  While attending the last in a series of events to celebrate what the Institute for the Fiduciary Standard christened as Fiduciary September, one comment stood out: The No. 1 compliant in FINRA arbitration cases is breach of fiduciary duty.

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  SEC’s Gallagher Challenges Idea of FINRA as Advisor SRO

  By Melanie Waddell, AdvisorOne  |  October 8, 2012

  “Should FINRA be seeking to branch out into entirely new fields of responsibility, such as regulating investment advisors?” a commissioner asks.

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  Breach of Fiduciary Duty No. 1 Complaint in FINRA Arbitration Cases

  By Melanie Waddell, AdvisorOne  |  September 25, 2012

  Experts including former SEC Chairman Harvey Pitt and Ron Rhoades debated whether brokers should be held to the same fiduciary standard as advisors.

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  SEC Fiduciary Rule Stalled—But for How Long?

  By Melanie Waddell, AdvisorOne  |  September 25, 2012

  A fiduciary rule from the SEC looks to be years away.

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  Kicking SEC’s Fiduciary Efforts Back Into Gear

  By Melanie Waddell, AdvisorOne  |  September 5, 2012

  Barbara Roper of the CFA and others discussed ways to get the SEC to move forward on proposing a fiduciary rule on a conference call Wednesday.