Page 1 of 1  

June 8, 2015

Fiduciary 2.0: Expert Webinar on DoL's Conflict-of-Interest Rules For Retirement Investing

Thursday, June 11 at 11:00 AM ET (16:00 BST)


Please join Chuck Gabriel and Rob Rose of Capital Alpha as they host Ole Miss Law Professor Mercer Bullard in a Thursday, June 11, webinar at 11:00am ET (16:00 BST) to discuss the Obama administration's proposed expansion of investment advice subject to a new "principles-based" fiduciary standard.

Professor Bullard is a noted expert on legal issues surrounding retirement investing, and has provided advice both to the Labor Department and to reformers within the investment sector.

Questions addressed will involve:

  • What's in the proposed new fiduciary standard, and how did it evolve?
  • What key elements in the proposal are likely to change? How might the "Best Interest Contract" exemption, or an alternative safe harbor, ultimately emerge?
  • Under what timeline and circumstances is the Labor Department likely to finalize a rule? What are the politics in Washington?
  • What role will the SEC play? And might a broader, unified standard emerge to apply to all retirement investments?
  • Most importantly, what might new conflict of interest rules mean for broker-dealers, investment advisors, asset management companies and insurers?

Registration information was provided to clients of Capital Alpha Partners. For more information or to paricipate in this webinar, please contact your Capital Alpha Partners representative below:

More on Mercer Bullard
Professor Bullard is an Associate Professor of Law at the University of Mississippi School of Law, where he teaches courses on securities, banking, corporations, corporate finance, and law and economics. He is also the Founder and President of Fund Democracy, an advocacy group for mutual fund shareholders, a Senior Advisor with financial planning firm Plancorp Inc., an Accredited Investment Fiduciary® and a member of the SEC’s Investor Advisory Committee and the CFB Board’s Public Policy Council.

Professor Bullard has testified before House, Senate, Department of Labor and State committees on mutual funds, hedge funds, 529 plans, 401(k) plans and other regulatory issues. He has published articles on a wide range of securities law topics and advocated shareholder positions on a variety of regulatory matters. He formerly served as the consumer representative on the Financial Planning Association’s Government Relations Committee and as the Vice Chair of the Mississippi Secretary of State’s Securities Law Committee. Named by Investment News as one of the top 20 influencers in the financial services industry in 2009, he has appeared on NBC Nightly News, CBS Evening News, CNBC, and other national broadcasts; been featured in Business Week, Money Magazine and other publications; and quoted in most major newspapers and financial publications on finance- and securities-related matters.

Professor Bullard was formerly an Assistant Chief Counsel at the Securities and Exchange Commission. He previously clerked for a U.S. Court of Appeals judge and practiced securities law in Washington, DC. He has a law degree from the University of Virginia School of Law, a masters degree from Georgetown University, and a B.A. from Yale.