Term	Book	Chapter	Definition
Fiduciary Duty	Securities Industry Essentials (SIE) Exam	Chapter 7: Customer Accounts and Their Regulations	The responsibility of securities professionals to act in the best interests of clients and place their interests ahead of the firm’s or individual representative’s interests.
Fiduciary Duty	U.S. Securities Regulation	Chapter 3: The Investment Company Act of 1940	The Act established a fiduciary duty for investment advisors, obligating them to prioritize the interests of their clients above their own.