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- W3123562317 abstract "Under the mandate of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, the SEC is soliciting public opinions on whether broker-dealers should be subject to a fiduciary duty when advising retail and institutional investors. This Article focuses on the advisability of such a proposal for institutional investors. It shows that, first, a fiduciary duty could potentially enhance broker-dealers' standard of conduct for only a subset of institutional investors who are well capitalized, capable of assessing risks independently, and acknowledge in writing their nonreliance on broker-dealers' advice. Thus, the benefit of fiduciary duty is much narrower than what its proponents believe. Second, institutional investors face substantial obstacles in recovering damages from brokerdealers who violate their standard of conduct in private litigation, and yet fiduciary duty would not help in this regard. In light of fiduciary duty's negligible benefit but indeterminate cost to the financial industry, it is not a viable measure for enhancing institutional investor protection. 55 * Professor of Law, University of Cincinnati College of Law. The author thanks Barbara Black for her invaluable conuents to an earlier draft of this paper, and Craig Havens for his meticulous research assistance and editing. The author is responsible for all mistakes. 56 WILLIAM & MARY BUSINESS LAW REVIEW" @default.
- W3123562317 created "2021-02-01" @default.
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- W3123562317 date "2014-01-01" @default.
- W3123562317 modified "2023-10-13" @default.
- W3123562317 title "Broker-Dealers, Institutional Investors, and Fiduciary Duty: Much Ado about Nothing" @default.
- W3123562317 hasPublicationYear "2014" @default.
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