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.…

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…

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…

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…

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…

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…

In this episode of Top of Mind with SIFMA Insights, Katie Kolchin, CFA, Head of Research, is joined by Torsten Slok, Chief Economist and Partner at Apollo Global Management to recap the recent FOMC meeting, exploring the actions taken and shedding light on the future of rate hikes.

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…

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.…

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…

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 …

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.…

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…

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…

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.…

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…

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.…

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.…

The SIFMA Economist Roundtable brings together chief U.S. economists from nearly 30 global and regional financial institutions. Its semiannual survey, published prior to the upcoming Federal Open Market Committee (FOMC) meeting, compiles the median economic forecast of Roundtable members.על ידי SIFMA

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…

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.…

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 …

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.…

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.…

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.…

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.…

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…

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.…

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.…

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.…

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 …

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 …

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…

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.…

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…

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…

In this episode of The SIFMA Podcast, SIFMA President & CEO Kenneth E. Bentsen, Jr. sits down with Tom Price, Managing Director, Operations Technology & BCP, and Tom Wagner, Managing Director, Financial Services Operations, for a discussion on the financial services industry's cybersecurity efforts.Cyberattacks didn't stop during the pandemic. Rath…

In this episode of our Wealth Management Leadership podcast series, SIFMA president & CEO Kenneth E. Bentsen, Jr. sits down with Primerica’s PFS Investments CEO Estee Faranda for a discussion on reaching middle-income investors.על ידי SIFMA

In this episode of our Wealth Management Leadership podcast series, SIFMA President & CEO Kenneth E. Bentsen, Jr. is joined by Lisa Kidd Hunt, Executive Vice President, International Services, for Charles Schwab & Co., Inc., for a discussion on the rise of Generation Investor (Gen-I) and the findings from Schwab’s new investor survey.…

In this episode of our Wealth Management Leadership podcast series, SIFMA President & CEO Kenneth E. Bentsen, Jr. sits down with Carey Shuffman, Head of UBS’s Women’s Segment, for a discussion on the unique trends and approaches to serving women investors.For a transcript and more, visit https://www.sifma.org/resources/news/podcast-wealth-managemen…

In this first episode of our Wealth Management Leadership podcast series, SIFMA President & CEO Kenneth E. Bentsen, Jr. sits down with Northwestern Mutual Wealth Management Company President & CEO Evamarie Schoenborn for a discussion about how the firm’s use of advisory teams has enhanced the advisor-client relationship.For a transcript and more, p…

In this episode of SIFMA's Diversity, Equity & Inclusion Podcast Series, SIFMA's Amena Ross sits down with Cetera's Chantalle Couba to explore the journey to excellence in business, sharing insights on the courage and grit it takes to create a culture of diversity, equity and inclusion.על ידי SIFMA

The Fundamental Review of the Trading Book (FRTB) was initiated by the Basel Committee on Banking Supervision in the years following the 2007-2009 financial crisis with the aim of completely revising the approach of calculating risk-based capital requirements for trading activities.In this podcast, SIFMA’s Peter Ryan, Head of International Capital …

International trade and investment in financial services is crucial to U.S. economic growth and job creation. In this podcast, SIFMA's Peter Matheson sits down with Citi's Kimberley Claman and EY's Douglas Bell to discuss why, in an increasingly competitive global economy, it is vital that financial services are integrated into the U.S. internation…

Moderated by Rudy Rodriguez, Vice President of Diversity and Inclusion at Ameriprise and Chair of SIFMA’s Diversity & Inclusion Council, this far-reaching discussion with Penny Pennington of Edward Jones and Suzanne Shank of Siebert, Williams, Shank & Co. explores how these leaders model a culture of inclusion from the c-suite.For transcript and mo…

In this edition of SIFMA's Diversity, Equity & Inclusion (DEI) podcast series, SIFMA’s Amena Ross, Managing Director of Advocacy, sits down with Samuel A. Ramirez, Jr., President and CEO of Ramirez Asset Management and Senior Managing Director of Samuel A. Ramirez and Company, Inc. to understand how we can break down barriers and foster a culture o…

It is abundantly clear that COVID-19 will have lasting impacts.In this podcast, SIFMA president and CEO Kenneth E. Bentsen, Jr. sits down with Nasser Khodri, President of FIS Capital Markets, to discuss the evolution of operational readiness and how to rebuild for resilience as we chart a path forward.…

The face of the individual investor is changing.In part one of this two-part podcast, SIFMA president and CEO Kenneth E. Bentsen, Jr. sits down with Ken Cella of Edward Jones to discuss how financial advice is evolving alongside the changing investor and why it is more critical than ever to work with a financial advisor. In part two, Bentsen and Br…

In the latest in SIFMA’s podcast series, SIFMA president and CEO Kenneth E. Bentsen, Jr. is joined independent financial planning professional Steve Budin, the President of the Budin Group. During their conversation, Steve explains his work on behalf of his clients and community as an independent financial advisor, and why his independent contracto…

In this podcast – originally published in March 2020 - Kenneth E. Bentsen, Jr., SIFMA’s President and CEO, and Kevin Carroll, SIFMA’s Managing Director and Associate General Counsel, discuss the long-standing securities arbitration system and the rather confounding animus toward it by some policymakers. They also dive more specifically into the FIN…