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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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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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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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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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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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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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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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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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By Melanie Waddell, AdvisorOne |
September 25, 2012
A fiduciary rule from the SEC looks to be years away.
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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.