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FINRA's 1942 Failure: Effects on Trust, Capital Formation and the U.S. Economy
Ron A. Rhoades, JD, CFP 
[Opinion] June 25, 2013
"In the year following the commencement of World War II, when all Americans had their attention diverted to the enormous threats from abroad, FINRA (formerly known as the National Association of Securities Dealers, or NASD) adopted rules of conduct for its [members]. Strangely missing from such rules was a fiduciary standard of conduct for brokers (i.e., registered representatives of broker-dealer firms) when providing personalized investment advice. Over seven decades have passed, and FINRA has yet to rectify its error."
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