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- Seniors’ Anti-Financial Exploitation (SAFE) Act of 2026
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- Quantifying Fiduciary Prudence: In-Plan Annuities, Terminal Wealth, and the Terminal Wealth Breakeven Value Index
- Terminal Wealth As a Fiduciary Prudence Metric: Why ERISA Plan Fiduciaries Should Incorporate Wealth Preservation and Capital Preservation into the Evaluation of In-Plan Annuities and Alternative Investments
- Fiduciary Prudence Protocols: Proactive Fiduciary Risk Mitigation Strategies For Plan Sponsors and Other Investment Fiduciaries
The Prudent Investment Adviser Rules
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Category Archives: 404c compliance
The Little Known Win-Win Fiduciary “Gotcha”
It is well-established that investment advisers are fiduciaries. Fiduciary law is based primarily on principles developed under agency law and trust law. When you mention fiduciary law, most people immediately think of the duty of loyalty, the requirement that a … Continue reading
A Pure Heart and an Empty Head Is No Defense
Unbeknownst to many investment advisers, it is their responsibility to educate themselves as to applicable legal standards for their advisory practices. Investment advisers affiliated with a broker-dealer often assume that the broker-dealer will keep them updated as to any compliance … Continue reading
The Prudent Investment Fiduciary Rules 