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SIFMA is the voice of the nation’s securities industry, bringing together the shared interests of hundreds of broker-dealers, banks and asset managers. We advocate for effective and resilient capital markets. Our podcast brings together market and industry experts to make the connection between public policy and finance.
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Why is capital markets technology so clunky and old? Join Clear Street's experts as they tackle modernization, industry trends, and more. From APIs to trading, expect conversations at the intersection of finance and technology. Clear Street does not provide investment, legal, regulatory, tax, or compliance advice. Consult professionals in these fields to address your specific circumstances. These materials are: (i) solely an overview of Clear Street’s products and services; (ii) provided for ...
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show series
 
In this episode of The SIFMA Podcast, we highlight just some of the conversations that took place at SIFMA's Annual Meeting. Our discussions with industry leaders like BlackRock's Larry Fink and Edward Jones' Penny Pennington include top-of-mind issues including: The expanding role of the capital markets and their potential to positively impact soc…
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In this episode of the SIFMA Podcast, Ken Bentsen, SIFMA's President and CEO, is joined by Katie Kolchin, SIFMA Managing Director and Head of Research, for a discussion around the recently updated SIFMA Insights Primer series. This series of reports explains the inner workings of capital markets, breaking down important technical and regulatory nua…
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In this episode of the SIFMA Podcast, Ken Bentsen, SIFMA’s president, and CEO, sits down with Stephen Byron, Managing Director, Head of Technology, Operations, and Business Continuity, SIFMA to discuss the 5 key takeaways from SIFMA’s 2024 Operations and Technology Conference and what’s ahead in the operations space.…
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In this episode of The SIFMA Podcast, we share a replay of the Treasury Clearing panel discussion at SIFMA’s recent Operations Conference & Exhibition. But first, SIFMA’s Chief Operating Officer, Joseph Seidel, sits down with panel moderator Robert Toomey and SIFMA Asset Management Group’s Bill Thum to outline what firms need to be doing today to p…
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In this episode of The SIFMA Podcast, SIFMA’s Chief Operating Officer Joseph Seidel sits down with Craig Lewis, former Chief Economist and Director of the Division of Economic and Risk Analysis, or DERA, at the SEC, to discuss the SEC’s approach to economic analysis as the basis for rule proposals.Por SIFMA
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In this episode of The SIFMA Podcast, SIFMA's Chief Operating Officer Joseph Seidel sits down with Dr. Peter Ryan, Managing Director, and Head of International Capital Markets and Strategic Initiatives, to discuss the status of the Basel III Endgame proposal in the United States. A recent study found that the proposal would cause U.S. economic grow…
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In this episode of The SIFMA Podcast, SIFMA president and CEO Kenneth E. Bentsen, Jr. and Ken Cella, Principal and Head of External Affairs for Edward Jones and 2023-2024 Chair of SIFMA's Board of Directors, discuss SIFMA's commitment to fostering effective and efficient capital markets, our role on behalf of the membership, and the goals we have s…
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In this episode of The SIFMA Podcast, SIFMA president and CEO Kenneth E. Bentsen, Jr. sits down with Robert Toomey and William Thum, who outline SIFMA and SIFMA AMG's partnership to advance multiple workstreams and short-term deliverables that will set the stage for long-term implementation. These include standard documentation, enhancements to mar…
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In this episode of The SIFMA Podcast, SIFMA's Joseph Seidel and Dr. Peter Ryan identify and discuss three key takeaways from SIFMA's recent Basel III Endgame Roundtable. The Basel III Endgame package of reforms: Is unprecedented in its scale and scope and deviates from its original intent; Must be re-proposed in full for both substantive and legal …
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In this episode of SIFMA's podcast, Ken Bentsen, SIFMA's President and CEO, and Tom Price, Managing Director of Technology Operations and Business Continuity, discuss the final days leading up to the transition to T+1 day settlement. They discuss the industry's readiness for the transition, the history of settlement cycles, and the benefits of T+1.…
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Tom Price, Managing Director, Technology, Operations, and Business Continuity at SIFMA, and John Oleon, Managing Director, Clearing & Settlement Operations at Clear Street, join Clear Street’s Chief Operating Officer, Andy Volz, for a conversation on the impact of a shortened settlement cycle. Two months out from T+1, this episode covers best pract…
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In this episode of the SIFMA Podcast SIFMA President & CEO Ken Bentsen sits down with Scott Smith, Director of Advice Relationships at Cerulli Associates, and Lisa Bleier, Head of Wealth Management and Retirement and State Government Affairs at SIFMA. They discuss new findings issued by SIFMA and Cerulli Associates regarding the current landscape o…
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How does a startup financial services firm become a trusted partner in just five years? Chief Operating Officer Andy Volz welcomes guests Blaine Hurty, Managing Director, Capital Introduction, and Kristina Leo, Director, Corporate Access, to discuss the importance of building and maintaining relationships in delivering value-added services for clie…
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About 30% of the world is neurodivergent and these are major untapped talent pools. With some minor adjustments and accommodations to workplace processes we can enable these colleagues to work in this industry, be their very best and create an inclusive culture. In the latest episode of our SIFMA DE&I podcast series, we sat down with JPMorgan Chase…
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The military is one of the most diverse organizations in the world. It requires a diverse skill set and grit to be in the service and we learn just how easily veterans can translate those skills into the financial services industry. In the next episode of our SIFMA DE&I Podcast series, we chat with Academy Securities Founder and CEO, Chance Mims on…
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We kick-off part II of our SIFMA DE&I Podcast series with PIMCO’s Head of Public Policy, Libby Cantrill, for a discussion on Libby’s career path starting from what sparked her initial interest in finance to her time on Capitol Hill and the journey that has led to her current role at PIMCO. She shares insights on the role of mentors and sponsors thr…
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In this episode of The SIFMA podcast, Joe Siedel, SIFMA's Chief Operating Officer, and colleague Ellen Greene, Managing Director of Equity and Options Market Structure, discuss why the SEC's rulemaking agenda continues to raise questions. They dive into some of the key questions around the equity market structure proposals and how they may affect l…
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Securities finance is often misunderstood, but it plays a major function within prime brokerages and is a critical mechanism for price discovery and liquidity in the cash equities market. Chief Operating Officer Andy Volz speaks with Chief Information Officer Jon Daplyn and Madhu Subbu, Managing Director, Securities Finance Engineering, about moder…
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In this episode of Top of Mind with SIFMA Insights, SIFMA’s Head of Research, Katie Kolchin, CFA, is joined by Dr. Lindsey Piegza, Chief Economist at Stifel and Chair of the SIFMA Economist Roundtable to discuss the status of inflation, the future for rate hikes, and what to look for at the Fed’s annual Economic Policy Symposium in Jackson Hole, ki…
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In this episode of the SIFMA Podcast, SIFMA's Head of Research Katie Kolchin discusses the highlights from SIFMA Insights Monthly Metrics for July 2023. This report analyzes market metrics and trends for volatility, prices, and volumes in the U.S. equities and listed options markets. She also highlights an interesting market theme for the month.…
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In the last episode of Part I of SIFMA’s Diversity, Equity & Inclusion Podcast series, SIFMA EVP and Head of DE&I, Cheryl Crispen sits down with John Taft, Vice Chair of Baird to discuss what it takes to be a committed DE&I advocate and how having an emotional connection is critical when it comes to doing the work that is necessary to make a differ…
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In the next episode of our DE&I podcast series, SIFMA’s EVP and Head of DE&I, Cheryl Crispen sits down with HSBC Senior Executive Vice President & General Counsel, Mark Steffensen to discuss how the firm prioritizes DE&I as a business imperative with a client-centered focus. The core of HSBC as an international bank is multiculturalism and helping …
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In this episode of the SIFMA Podcast, SIFMA's Head of Research Katie Kolchin discusses the highlights from SIFMA Insights Monthly Metrics for June 2023. This report analyzes market metrics and trends for volatility, prices, and volumes in the U.S. equities and listed options markets. She also highlights an interesting market theme for the month.…
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In the next episode of SIFMA’s Diversity, Equity, and Inclusion Podcast series, SIFMA’s EVP and Head of DE&I, Cheryl Crispen sits down with Charles Schwab Managing Director, Head of International Services, Lisa Hunt to discuss the ways that Charles Schwab is still creating a more inclusive environment 50 years later with its original vision to brin…
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In the next episode of the 2023 SIFMA Diversity, Equity & Inclusion Podcast series, SIFMA EVP and Head of DE&I, Cheryl Crispen sits down with Alliance Bernstein Global Head of Diversity & Inclusion and Corporate Citizenship, Vanessa Cox-Irvin to discuss the firm's commitment to diversity and inclusion and their efforts to recruit and retain diverse…
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In this episode of the SIFMA Podcast, SIFMA's Katie Kolchin highlights the top ten results from our 2023 mid-year survey. After that, we’ll share a conversation between our president and CEO, Ken Bentsen, and the Chair of our Economist Roundtable, Dr. Lindsey Piegza, managing director and chief US economist for Stifel.…
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In the first episode of our DE&I podcast series and to honor pride month, SIFMA EVP and Head of DE&I, Cheryl Crispen sits down with JPMorgan Chase Managing Director and Global Head of LGBTQ+ Affairs, Brad Baumoel, for a discussion on the firm’s DE&I centers of excellence, in particular for LGBTQ+, and how they deliver impact for underrepresented an…
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In this episode of the SIFMA Podcast, SIFMA's Head of Research Katie Kolchin discusses the highlights from SIFMA Insights Monthly Metrics for May 2023. This report analyzes market metrics and trends for volatility, prices, and volumes in the U.S. equities and listed options markets. She also highlights an interesting market theme for the month.…
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In this episode of the SIFMA Podcast, SIFMA's Head of Research Katie Kolchin discusses the highlights from SIFMA Insights Monthly Metrics for April 2023. This report analyzes market metrics and trends for volatility, prices and volumes in the U.S. equities and listed options markets. She also highlights an interesting market theme for the month.…
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In this episode of The SIFMA Podcast, SIFMA President and CEO Kenneth E. Bentsen, Jr. sits down with our team to discuss the potential impacts of the U.S. Securities and Exchange Commission's far-reaching equity market structure proposals and walk through our recently filed comment letters. Ellen Greene, Managing Director, Equity and Options Market…
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In this episode of the SIFMA Podcast, SIFMA's Head of Research Katie Kolchin discusses the highlights from SIFMA Insights Monthly Metrics for March 2023. This report analyzes market metrics and trends for volatility, prices and volumes in the U.S. equities and listed options markets. She also highlights an interesting market theme for the month.…
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Top of Mind with SIFMA Insights is a new series within the SIFMA Podcast. We'll be talking with experts from across the industry about key issues impacting the capital markets and financial industry. In this first episode, SIFMA's Head of Research, Katie Kolchin, CFA is joined by Dr. Lindsey Piegza, Chief Economist at Stifel and Chair of the SIFMA …
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In this episode of the SIFMA Podcast, SIFMA's Head of Research Katie Kolchin discusses the highlights from SIFMA Insights Monthly Metrics for February 2023. This report analyzes market metrics and trends for volatility, prices and volumes in the U.S. equities and listed options markets. She also highlights an interesting market theme for the month.…
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In this episode of The SIFMA Podcast, SIFMA’s President & CEO, Kenneth E. Bentsen, Jr., sits down with Katie Kolchin, Managing Director and Head of Research for SIFMA, to dig into equity and related market performance and find out what a difference a year makes. They'll also discuss what’s in store for 2023.…
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In this episode of the SIFMA Podcast, SIFMA's Head of Research Katie Kolchin discusses the highlights from SIFMA Insights Monthly Metrics for January 2023. This report analyzes market metrics and trends for volatility, prices and volumes in the U.S. equities and listed options markets. She also highlights an interesting market theme for the month.…
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In this episode of the SIFMA Podcast, SIFMA President & CEO Kenneth E. Bentsen, Jr. sits down with Sabrina Bailey, Global Head of Investment & Wealth Solutions, Data & Analytics Division from LSEG (London Stock Exchange Group) to discuss three key trends in wealth management – digitization, hyper-personalization, and self-directed investing.…
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In this episode of the SIFMA Podcast, SIFMA's Head of Research Katie Kolchin discusses the highlights from SIFMA Insights Monthly Metrics for December, our final report for the year looking back at 2022. This report analyzes market metrics and trends for volatility, prices and volumes in the U.S. equities and listed options markets. She also highli…
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In this episode of the SIFMA Podcast, SIFMA's Katie Kolchin highlights the top ten results from our survey. After that, we’ll share a conversation between our president and CEO, Ken Bentsen, and the Chair of our Economist Roundtable, Dr. Lindsey Piegza, managing director and chief US economist for Stifel.…
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In this episode of The SIFMA Podcast, SIFMA's Ken Bentsen sits down with the Secretary of the U.S. Department of Treasury, Janet L. Yellen to discuss the state of the markets and their resiliency in the face of volatility. This conversation was recorded live from the 2022 SIFMA Annual Meeting in New York City.…
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In this episode of The SIFMA Podcast, SIFMA’s Rob Toomey sits down with Bradley Ziff from Sia Partners to discuss a recent study on the impact of additional public transparency for secondary market transactions in the treasury market. They uncover what kind of impact this would have on market participants and on the market generally.…
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In this episode of The SIFMA Podcast, SIFMA President & CEO Kenneth E. Bentsen, Jr. sits down with Tom Price, SIFMA Managing Director, Operations, Technology and BCP, and Anthony Macchiarulo, Senior Associate, Financial Services Operations, to discuss SIFMA's efforts, in conjunction with DTCC and ICI, to accelerate the settlement cycle from T+2 to …
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In this episode of The SIFMA Podcast, SIFMA President & CEO Kenneth E. Bentsen, Jr. sits down with Lindsey Piegza, Ph. D, Chief Economist and Managing Director for Stifel Nicolaus & Co. and Chair of the SIFMA Economic Advisory Roundtable, to discuss the outlook for the U.S. economy and results from SIFMA's recent survey of chief economists from 27 …
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In this far-ranging discussion at the 2022 Operations Conference & Exhibition, Kenneth E. Bentsen, Jr., SIFMA’s president and CEO, sits down with Thomas Pluta, Global Head of the Linear Rates Trading Business at J.P. Morgan and 2022 Chair of SIFMA’s Board of Directors, to explore SIFMA’s priorities on behalf of our members including:The State of th…
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In this episode of The SIFMA Podcast, SIFMA President & CEO Kenneth E. Bentsen, Jr. sits down with Lindsey Keljo who is Managing Director and Head of SIFMA’s Asset Management Group and Jamie Gershkow, Partner at Stradley Ronon for a discussion on the SEC’s proposed reforms to money market fund rules.…
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In this episode of our Wealth Management Leadership podcast series, SIFMA President & CEO Kenneth E. Bentsen, Jr. sits down with Ken Cella, Principal of the Client Strategies Group at Edward Jones for a conversation on how the pandemic has shaped the way advisors and clients approach the “New Retirement.”We discuss its four pillars of health, famil…
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In this episode of our Wealth Management Leadership podcast series, SIFMA President & CEO Kenneth E. Bentsen, Jr. sits down with Joseph E. Sweeney, President, Advice & Wealth Management, Products and Service Delivery for Ameriprise, Inc., for an introspective discussion on how the advisor-client relationship has evolved in recent decades.We look at…
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