Initiatives

March 16, 2015 – Are you a Fiduciary? Are you ready to serve retirement investors?  If so, the Committee needs your help. We are gathering signatures to show that there are plenty of fiduciaries who serve retirement investors, including those with smaller or medium sized accounts.

Please sign this letter and help spread the word. Thank you. http://goo.gl/forms/xeEybvlfWE

Feb 3, 2011 — INVITATION-Feb 10 Panel and Webcast on SEC Fiduciary Study

Jan. 23, 2011 — Committee Applauds SEC Study on Investment Advisers and Broker-Dealers as “Bold Blueprint” for Universal Fiduciary Standard

Jan. 3, 2011 — SEC Urged to Provide Equal Protection to Investors; Heed Dark Side of Disclosures

Dec. 21, 2010 — Committee Submits Comments on New Research on Disclosures to SEC

Nov. 11, 2010 —Committee Comment Letter to SEC on Enhancing Investment Adviser Examinations

Nov. 8, 2011 — Comment Letter to SEC on SIFMA Presentation on Harmonizing Fiduciary and Suitability Standards

Sep 16, 2010 — The Fiduciary Forum, Sept. 24, Washington DC

Sep 3, 2010 — Committee Submits ‘The Fiduciary Reference’ Academic Fiduciary Articles to SEC

Aug 31, 2010 — The Fiduciary Reference: Selected Articles on Fiduciary Duties Applicable to Personalized Investment Advice

Aug 24, 2010 — Sept 24 Forum on Fiduciary Standard in a Brokerage Setting

Aug 24, 2010 — Brokers Writing SEC Oppose Fiduciary Standard: Buyer Beware

Aug 24, 2010 — Do Brokers Understand the Fiduciary Standard? Where’s the Burden?

Aug 12, 2010 — Fiduciary Forum Sept 24, Washington DC

Aug 6, 2010 — Investors Urged to Write SEC Chairman Mary Schapiro

Jul 28, 2010 — Committee’s Statement on SEC’s Request for Comment on Fiduciary Study

Jul 21, 2010 — Call for Papers on Fiduciary Duty

Jul 21, 2010 — Press Release: Call for Papers on Fiduciary Duty

Jul 16, 2010 — Committee for the Fiduciary Standard Analysis of SEC Fiduciary Study

Jul 16, 2010 — Committee Applauds Senate Passage; Releases Goldman Video

Jun 29, 2010 — Advisor Leaders Urge Acceptance of Fiduciary Standard

Jun 29, 2010 — Family Office Fiduciary Statement

Jun 29, 2010 — The Committee at 365 Days

Mar 15, 2010 — Why the Survey is Unnecessary–Analysis of Johnson Amendment to Financial Reform Legislation

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