fiduciary_sept_500x125Fiduciary September 2015

Welcome to Fiduciary September. The Institute celebrates Fiduciary September to highlight the indispensable role fiduciary principles serve in preserving trust and confidence in our capital markets. It includes:

    • Urging Congress and the SEC to apply the fiduciary standard and the six core fiduciary duties to all professionals rendering investment advice.
    • Urging industry participants to embrace fiduciary duties when investment advice is rendered.
    • Educating investors about the sharp differences between fiduciary advisors and sales brokers.



  • September 30, 2015 – Fiduciary Best Practices Briefing (Invitation)
  • September 30, 2015 – Remarks of Knut A. Rostad Release of the Best Practices for Financial Advisors (Transcript)
  • September 23, 2015 – Survey of Brokers and Advisers Reveals Support for DOL COI BICE Requirements, Even if they’re “Burdensome” (News Release)
  • September 8, 2015 – Fiduciary September 2015: Conference Call September 10th on Best Practices (News Release)
  • September 8, 2015 – SEC Commissioners Luis A. Aguilar’s and Daniel M. Gallagher on Fiduciary Duty (Paper)
  • September 2, 2015 – Fiduciary September 2015 Underscores Historic Time for Fiduciary Advice. (News Release)
  • August 11, 2015 – TD Ameritrade Institutional to be Exclusive Sponsor of Institute’s Fiduciary September 2015 Program. (Press Release)


Media Coverage



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