entruster fiduciary Restatement of The Law Agency Restatement of Trusts Frankel, Fiduciary Law, 71 Cal. L. Rev Restatement DeMott, Beyond M

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2 entruster fiduciary Restatement of The Law Agency Restatement of Trusts Frankel, Fiduciary Law, 71 Cal. L. Rev Restatement DeMott, Beyond Metaphor: An Analysis of Fiduciary Obligation, 1988 Duke L. J

4 IOSCO IOSCO

5 SEAVEY, HANDBOOK OF THE LAW OF AGENCY, Hornbook series, at 4 West Publishing C0., Weinrib, The Fiduciary Obligation, 25 U. Toronto L. J. 1, GordonSmith, The Critical Resource Theory of Fiduciary Duty, 55 Vand L. Rev. 1399,

6 DeMott, supra note 4, at 879.

7 trust fiduciary Conaglen, The Nature and Function of Fiduciary Loyalty, 121 L. Q. R. 452, 2005

8 NASD Louis Loss Langbein, The Basis of the Law of Trusts, lo5 Yale L. J. 625, Loss, The SEC and the Broker-Dealer, 1 Vand. L. Rev

9 Arm s-length Arm s-length integrity dramshop dramshop

10 Arm s-length Arm s-length Finn, Contract and Fiduciary Principle, 12 U. N. S. W. L. J. 76, Frankel, Fiduciary Duties as Default Rules, 74 Or. L. Rev. 1209,

11 fiduciary agent fiduciary fairness and honesty trustee LOFCHIE, LOFCHIE S GUIDE TO BROKER-DEALER REGULATION CCH wall Street, 2005 at 458. POSER, BROKER-DEALER LAW AND REGULATION Acpen Publishers, 4th ed., 2010 at 811.

12 RESTATEMENT THIRD OF AGENCY, 1.01, cmt. d, Frankel, supra note 20, at

13 agent Cooter & Bradley J. Freedman, The Fiduciary Relationship: Its Economic Character and Legal Consequences, 66 N. Y. U. L. Rev. 1045,

14 Dubbs v. Stribling & Assocs., 96 N. Y. 2d 337 N. Y Schock v. Nash, 732 A. 2d 217 Del ; Conservatorship of Anderson v. Lasen, 262 Neb. 51 Neb Easterbrook & Fischel, Contruct and Fiduciary Duty, 36 J. L. & ECON. 425,

15 Tymshare v. Covell, 727 F. 2d l145, 1152 D. C. Cir

16 ERISA ERISA ERISA ERISA Langebein, The Uniform Prudent Investor Act and the Future of Trust Investing, 181 Iowa. L. Rev ERISA Employee Retirement lncome Security Act of 1974 ERISA trustee beneiciary ERISA

17 duty of loyalty duty of care duty of prudence 29 U. S. C a 1 A law of property duty of diversification prudence ERISA prudent man rule duty of diversification

18 prudent man rule participants beneficiaries ERISA prudent investor rule avoidance prudent management

19 ERISA duty of diversification ERISA ERISA ERISA

20 ERISA

22 NBL

23 Hoover, Basic Principles Underlying Duty of Loyalty, 5 Clev. Marshall L.Rev. 7,

24 Restatement Third of Agency, 8.03

25 Restatment Third of Agency, b Restatement Third of Agency, 8.06 John Reynolds, Inc. v. Snow, 11 A. D. 2d 653, 201 N. Y. S. 2d 704 N. Y. App. Div

26 Poser

27 monitor Nichols, The Broker s Duty to His Customer under Evolving Federal Fiduciary and Suitability Standards, 26 Buf. L. Rev

29 Lieb v. Merrill Lynch, Pierce,Fenner & Smith, 461 F. Supp Patsos v. First Albany Corp., 741 N. E. 2d 841 Mass ; Amendola v. Bayer, 907 F. 2d 760, 763 7th Cir

30 reckless scienter

31 BROMBERG & LOWENFELS, SECURITIES FRAUD & COMMODITIES FRAUD McGraw-Hill Inc., 2d ed., 1994 Vol 3,

33 NBL

35 ERISA Frankel, supra note 2, at 795.

40 prudent investor rule Restatement Third of the Law of Trusts: Prudent lnvestor Rule 227

41 Restatement Second of the Law of Trusts 170 Phillips, Jr., Chasing Down the Devil: Standard Investment Under the Restatement Third of the Trusts, 54 Wash. & Lee L. Rev

48 ERISA

51 Finn, supra note 19, at 83. Shepherd, Towards a Unified Concept of Fiduciary Relationships, 97 L. Q. Rev. 51,

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