Podcasts about securities industry

* Guest: James Edwards - Race, Politics & Hypocrisy in 21st Century America - thepoliticalcesspool.org * Juneteenth, also known as Freedom Day or Emancipation Day, commemorates the emancipation of enslaved African Americans in the United States - JUNE 19, 1865 Was THE FIRST JUNETEENTH * The Nasdaq and New York Stock Exchange will be closed Wednesday and reopen Thursday, June 20 - The US bond market will also be closed on June 19, according to the Securities Industry and Financial Markets Association. * While most restaurants, grocery and retail stores will be open on the holiday, banks and the United States Postal Service will also be closed. * The beginners' guide to celebrating Juneteenth - Boston.com * Would You Sign a Petition for White-Only Housing? - Would You Sign a Petition to Bring Back Segregation? - Man on the Street, PragerU.com

Join us as we sit down with Ken Cella, a seasoned senior executive with Edward Jones. Ken has found joy by integrating his faith and work. In this episode, Ken shares unique insights on the importance of financial resiliency, honoring God through financial stewardship, and leaving a values-centered legacy.  His wisdom and guidance are helpful for those seeking to become servant leaders.About KenKen Cella, Principal and Head of External Affairs at Edward Jones and is responsible for fostering strategic partnerships, expanding relationships with policymakers, industry leaders and other influencers to make a greater impact on society. He is a member of the firm's Enterprise Leadership Team, which guides the firm strategy to grow its impact and create value for clients, colleagues and communities, today and in the future.Ken began his Edward Jones career in 1990 as a financial advisor and was named a principal in 2002. In 2012, he was asked to lead Branch Training, the area responsible for the professional development of financial advisors and branch office administrators, and in 2022, he took over sole responsibility for the Branch Development division.Ken serves as chair for the Securities Industry and Financial Markets Association (SIFMA) Board of Directors. At Edward Jones, he helps support the firm's commitment to diversity, equity and inclusion by serving as the senior executive sponsor of the Interfaith Business Resource Group.He is deeply engaged in the St. Louis community. He serves as Chair of the University of Missouri-St. Louis Chancellor's Council, on the board of directors for Greater St. Louis, Inc., as board chair for Chamber STL, and on the Concordance Academy of Leadership Board of Directors.Ken has a degree in marketing from the University of Missouri-St. Louis and an MBA from Washington University in St. Louis. He is also a graduate of the University of Pennsylvania Wharton School's Securities Industry Institute.He is a native of St. Louis, where he currently resides with his wife and their four children.Support the showTransforming the workplace one Bible study at a time - DONATE today! CONNECT WITH US:B-B-T.org | News | LinkedIn | Instagram Biblical Business Training (“BBT”) equips busy, working people to grow in the grace and knowledge of Jesus Christ and empowers them in small-group Bible study settings to apply Biblical principles to their every day lives - especially in the workplace. BBT is a nonprofit 501(c)(3) organization which exists to help people develop their Christian “Faith for Work – Leadership for Life!”

As the race to the White House heats up, experts from the financial sector weigh in on the high-stakes implications of the upcoming presidential election.Today on Facts vs Feelings, Ryan Detrick, Chief Market Strategist at Carson Group & Sonu Varghese, VP, Global Macro Strategist at Carson Group analyze the upcoming presidential election's potential effects on financial markets with Libby Cantrill, Head of Public Policy at PIMCO. They dissect the political landscape's influence on the markets and discuss Joe Biden's likelihood of remaining the Democratic nominee, comparing the current political climate to historical elections. Their conversation also covers pivotal issues that could sway key battleground states, and how re-election campaigns might influence stock market performance. Additionally, they touch on the role of Congress in fiscal policy and the implications for equity and bond markets.Libby discusses:The impact of the upcoming presidential election on financial marketsSignificance of the US dollar as the world's reserve currencyThe government spending deficit and its implicationsThe strength of the US economyPotential nominees for the presidential electionImportance of state polling in critical statesThe impact fiscal policy has on stock market performanceAnd more!The charitable entities and/or fundraising opportunities described herein are not endorsed by, or affiliated with CWM, LLC., or its affiliates. Our philanthropic interests are personal to us and are not reviewed, sponsored, or approved by CWM, LLC.Resources:Donate to St. Judes - Events.stjude.org/leapdayAny questions about the show? Send it to us! We'd love to hear from you! factsvsfeelings@carsongroup.com Connect with Libby Cantrill: PIMCOLinkedIn: Libby CantrillConnect with Ryan Detrick: LinkedIn: Ryan DetrickConnect with Sonu Varghese: LinkedIn: Sonu VargheseAbout our guest:Ms. Cantrill is head of U.S. public policy and a managing director in PIMCO's portfolio management group. In her role, she analyzes policy and political risk for the firm's Investment Committee and leads U.S. policymaker engagement and policy strategy for the firm. She also works closely with PIMCO's Global Advisory Board, led by former Federal Reserve Chair Ben Bernanke. She has served as a rotating member of the firm's Executive Committee and is a founding member of PIMCO Families and PIMCO Women. Prior to joining PIMCO in 2007, she served as a legislative aide in the House of Representatives and also worked in the investment banking division at Morgan Stanley. She has 19 years of investment experience and holds an MBA from Harvard Business School and received her undergraduate degree in economics from Brown University. Ms. Cantrill is a CFA charter holder and a regular contributor to Bloomberg and CNBC. She is also a member of the Council on Foreign Relations and sits on the boards of Covenant House New York and the Securities Industry and Financial Markets Association ("SIFMA").Libby Cantrill is not affiliated with CWM, LLC.

Daren Pippio, Chairperson of the SIFMA Securities Industry Institute (SII) Board of Trustees, is joined by fellow Trustees Lana Calton, Tom Gooley and Joe Colaizzo to discuss how the SII is developing the future leaders for the financial services industry.

FINRA's new Machine-Readable Rulebook is designed to enhance firms' compliance efforts, reduce costs and aid in risk management, with a lot to gain for firms of all sizes and various business models. On this episode, Afshin Atabaki, Associate General Counsel with FINRA's Office of General Counsel, and Haime Workie, Vice President of FINRA's Office of Financial Innovation, join us to delve into what exactly the Machine-Readable Rulebook is, how it works, and how you can start taking advantage of all it has to offer.Resources mentioned in this episode:Special Notice 10/21/22: FINRA Requests Comment on Its Machine-Readable Rulebook InitiativeSpecial Notice 7/30/18: FINRA Requests Comment on Financial Technology Innovation in the Broker-Dealer IndustryFINRA API Developer CenterFINRA RulesFINRA Rulebook Search Tool™ (FIRST™) OverviewFINRA Rulebook

Hear from Alla Gil, the co-founder and CEO of Straterix, as we examine the liquidity risk challenges and trends that have been fueled by extremely rare market conditions. In a recent survey conducted by the Securities Industry and Financial Markets Association, 80% of economists named stagflation – or a combination of high inflation and stagnant growth – as the greatest long-term risk to the U.S. economy. The economists said that stagflation presents an even bigger threat than a 2023 recession, and this news has undoubtedly added to the consternation currently felt by liquidity risk managers. We haven't seen a true period of stagflation in the U.S. since the oil crisis of the 1970s, and its therefore very difficult to factor this anomalous macroeconomic risk into contemporary liquidity risk models. Alla Gil joins GARP editorial director Robert Sales to discuss the impact of stagflation and the steps risk practitioners responsible for modeling and managing liquidity risk can take to ensure that they have enough cash on hand, both now and in the future?   SPEAKER's BIO: Alla Gil is CEO and co-founder of Straterix Inc. With an academic background in theoretical mathematics, she began her Wall Street career at Goldman Sachs, working on stochastic models for derivative pricing. While heading Global Strategic Advisory teams at Citigroup, Nomura - and again at Goldman Sachs - she introduced stochastic modelling and an optimization approach to the world of corporate finance. Over a 20-year period, Alla advised banks, sovereign treasuries, insurance companies, asset managers, and pension funds on ALM, stress testing, long-term risk projections, liquidity, optimal capital allocation and balance sheet optimization With Straterix, she has developed a methodology and tools that enable clients to automate the process of scenario creation and expansion to assist in strategic capital planning and optimization, as well as risk management and stress testing.

Money laundering looks different in the securities industry and that poses its own challenges. But add to that a landscape of constantly evolving threats and it is a lot to keep up with. On this episode, Jason Foye, Senior Director of the National Cause and Finance Crimes Detection Program's Special Investigative Unit joins us once again to tell us about the latest trends, emerging threats and how firms can ensure their AML program remains strong and effective. How are we doing? Take the FINRA Unscripted survey today. Resources mentioned in this episode:Episode 33: Beyond Hollywood: Money Laundering in the Securities IndustryEpisode 34: Beyond Hollywood, Part II: AML Priorities and Best PracticesEpisode 71: Overlapping Risks, Part 1: Anti-Money Laundering and CybersecurityEpisode 72: Overlapping Risks, Part 2: Anti-Money Laundering and Elder ExploitationEpisode 86: FINRA's Financial Intelligence Unit: Connecting the Dots2022 Report on FINRA's Exam and Risk Monitoring Program: Cybersecurity2022 Report on FINRA's Exam and Risk Monitoring Program: AMLFinancial Crimes Enforcement Network (FinCEN) PrioritiesFinCEN Alert: Potential Russian Sanctions Evasion AttemptsSEC Staff Bulletin: Risks Associated with Omnibus Accounts Transacting in Low-Priced SecuritiesRegulatory Notice 20-32: Fraudulent Options Trading in Connection with Potential Account Takeovers and New Account FraudRegulatory Notice 22-06: U.S. Imposes Sanctions on Russian Entities and IndividualsRegulatory Notice 21-18: Practices Firms Use to Protect Customers From Online Account Takeover AttemptsFINRA Key Topics: Cybersecurity

This episode features a conversation with Lori Taylor. Lori is a senior counsel in Foley's Chicago office. Her practice includes variety of commercial litigation matters complex securities disputes, commercial foreclosures, commercial contract disputes and product liability defense. In this discussion, Lori reflects on growing-up in Palatine, IL, attending the University of Missouri-Columbia for undergrad and the Northwestern Pritzker School of Law. In this discussion, Lori shares about her early focus on becoming a journalist, the experience she gained working as a field reporter in college, and her subsequent decision not to pursue it as a career. Lori reflects on the years, prior to law school, that she spent working in the securities industry and then shares about attending law school during the Great Recession. Lori also discusses her litigation practice and provides wonderful advice on the importance of trusting that things will work out for the best.

From COP26 to the boom in ESG investment funds, sustainable finance has been a hot topic in 2021. Kenneth E. Bentsen, Jr., president and CEO of the Securities Industry and Financial Markets Association (SIFMA) and CEO of the Global Financial Markets Association (GFMA), joins the show to discuss the crucial role capital markets will continue to play in efforts to decarbonize the global economy. On the heels of GFMA's 2nd Annual Global Capital Markets Sustainable Finance Conference earlier this week, Bentsen outlines the regulatory landscape for sustainable finance and explains how voluntary and compliance carbon markets are a key part of the energy transition. Bentsen also notes how securitization could boost the build out of more renewable energy projects. More resourcesEmail AFME at events@afme.eu to be sent login details to watch an on-demand replay of GFMA's 2nd Annual Global Capital Markets Sustainable Finance ConferenceUnlocking the Potential of Carbon Markets to Achieve Global Net ZeroSIFMA's Comment Letter on the Department of Labor's recent ESG-related proposalSign up for SIFMA SmartBriefSign up for GFMA SmartBriefMore about ICE: Environmental, Social and Governance issues are in the spotlight. Investors need the markets, data and indices to understand how their decisions impact the planet, people and their portfolios. At ICE, we provide data, markets and analytics to help you measure performance, manage risk and connect to opportunity. Visit ice.com/connecttoesg for more information.ICE Make Sustainable Decisions

QUESTION PRESENTED:This case presents a clear and intractable conflict regarding an important jurisdictional question under the Federal Arbitration Act (FAA), 9 U.S.C. 1-16. As this Court has repeatedly confirmed, the FAA does not itself confer federalquestion jurisdiction; federal courts must have an independent jurisdictional basis to entertain matters under the Act. In Vaden v. Discover Bank, 556 U.S. 49 (2009), this Court held that a federal court, in reviewing a petition to compel arbitration under Section 4 of the Act, may "look through" the petition to decide whether the parties' underlying dispute gives rise to federal-question jurisdiction. In so holding, the Court focused on the particular language of Section 4, which is not repeated elsewhere in the Act. After Vaden, the circuits have squarely divided over whether the same "lookthrough" approach also applies to motions to confirm or vacate an arbitration award under Sections 9 and 10. In Quezada v. Bechtel OG & C Constr. Servs., Inc., 946 F.3d 837 (5th Cir. 2020), the Fifth Circuit acknowledged the 3-2 "circuit split," and a divided panel held that the "look-through" approach applies under Sections 9 and 10. In the proceedings below, the Fifth Circuit declared itself "bound" by that earlier decision, and applied the "look-through" approach to establish jurisdiction. That holding was outcomedeterminative, and this case is a perfect vehicle for resolving the widespread disagreement over this important threshold question. The question presented is: Whether federal courts have subject-matter jurisdiction to confirm or vacate an arbitration award under Sections 9 and 10 of the FAA where the only basis for jurisdiction is that the underlying dispute involved a federal question.DateProceedings and Orders (key to color coding)Feb 12 2021 | Petition for a writ of certiorari filed. (Response due March 24, 2021)Mar 24 2021 | Brief of respondents Greg Walters, et al. in opposition filed.Apr 02 2021 | Motion of petitioner to delay distribution of the petition for a writ of certiorari under Rule 15.5 from April 7, 2021 to April 14, 2021, submitted to The Clerk.Apr 05 2021 | Motion to delay distribution of the petition for a writ certiorari until April 14, 2021 granted.Apr 14 2021 | DISTRIBUTED for Conference of 4/30/2021.Apr 16 2021 | Reply of petitioner Denise A. Badgerow filed. (Distributed)May 10 2021 | DISTRIBUTED for Conference of 5/13/2021.May 17 2021 | Petition GRANTED.May 28 2021 | Motion for an extension of time to file the briefs on the merits filed.Jun 04 2021 | Motion to extend the time to file the briefs on the merits granted. The time to file the joint appendix and petitioner's brief on the merits is extended to and including July 22, 2021. The time to file respondents' brief on the merits is extended to and including September 10, 2021.Jun 17 2021 | Motion to dispense with printing the joint appendix filed by petitioner Denise A. Badgerow.Jun 28 2021 | Motion to dispense with printing the joint appendix filed by petitioner GRANTED.Jul 22 2021 | Brief of petitioner Denise A. Badgerow filed.Aug 16 2021 | ARGUMENT SET FOR Tuesday, November 2, 2021.Sep 01 2021 | Record requested from the U.S.C.A. 5th Circuit.Sep 01 2021 | The record from the U.S.C.A. 5th Circuit is electronic and availble on Pacer.Sep 10 2021 | Brief of respondents Greg Walters, et al. filed.Sep 17 2021 | Brief amicus curiae of Chamber of Commerce of the United States of America filed. (Distributed)Sep 17 2021 | Brief amicus curiae of Securities Industry and Financial Markets Association filed.(Distributed)Sep 17 2021 | Brief amicus curiae of Arbitration Scholar Imre Stephen Szalai filed. (Distributed)Sep 21 2021 | CIRCULATEDOct 12 2021 | Reply of petitioner Denise A. Badgerow filed. (Distributed)Nov 02 2021 | Argued. For petitioner: Daniel L. Geyser, Dallas, Tex. For respondents: Lisa S. Blatt, Washington, D. C.★ Support this podcast on Patreon ★

Securities Industry v. SEC

Firm regulatory risks and priorities don't exist in a vacuum. And that is perhaps nowhere clearer than when it comes to a firm's anti-money laundering responsibilities. A firm's AML risks can overlap with any number of other priorities. On this episode, we're looking at the intersection of a firm's AML and cybersecurity risks. Joining us are Jason Foye, a director with FINRA's Anti-Money Laundering Investigative Unit, and Dave Kelley, a director with FINRA's Cybersecurity Specialist Program, both with FINRA's National Cause and Financial Crimes Detection Program. Resources mentioned in this episode:Episode 60: Introducing Greg Ruppert and the NCFCEpisode 33: Money Laundering in the Securities IndustryEpisode 34: AML Priorities and Best Practices SWIFT: How Cyber Attackers ‘Cash Out' Following Large-Scale HeistsFinCEN October 2020 Advisory on Ransomware FinCEN July 2020 Advisory on CybercrimeFinCEN October 2016 Advisory on Cyber EventsFINRA Cybersecurity ResourcesRegulatory Notice 20-32 on Fraudulent Options TradingRegulatory Notice 20-13 on Fraud During the Coronavirus Pandemic

Everyone is passionate about keeping their data and securities safe. In this episode, we are going to discuss the future of data security and regulations with 10XTS CEO Michael Hiles. * 10XTS has built software and data solution they refer to as XDEX. It is a blockchain-based protocol network and API-based application ecosystem for storing, securing managing, sharing, and governing financial information and records. * Early in 2017, Michael founded and launched 10XTS, a provider of blockchain information governance, risk, and compliance information and data solutions.  Find more information on Michale Hiles and 10XTS at https://10xts.com/ --------------- Increase Your Net Worth by grabbing our FREE tax savings download, and Subscribing to our weekly newsletter. https://bit.ly/JRobert --------------- ***Connect across your favorite social platform: https://linktr.ee/Joerobert ***Subscribe to the podcast: http://bit.ly/JRPodcasts DISCLAIMER: The information provided is not legal, accounting, tax, or investment advice.

The Office of Financial Innovation is a conduit and a facilitator of information related to significant innovation in the financial services industry, working to provide expertise and support to groups within FINRA, as well as FINRA member firms. As cloud computing transforms how broker-dealers operate, FINRA's Office of Financial Innovation surveyed nearly 40 broker-dealer firms, cloud service providers, industry analysts and technology consultants to better understand the implications of cloud computing on the securities industry. On this episode, FINRA's Haime Workie and Michael Oh join the podcast to discuss the group's latest report on cloud computing and to provide an update on other areas of focus. Resources mentioned in this episode:Report - Cloud Computing in the Securities IndustryInvestor Alert - Following the Crowd: Investing and Social MediaTopic Page - FinTech

Try 5 free SIE Exam Audio Lessons and see if our teaching style is right for you! Securities Industry Essentials SIE Exam Sample Lesson 5 This is the last of 5 sample lessons we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" This is the SIE Exam Lesson on Fixed Income (one of 6 lessons on Fixed Income) 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However there is now a prerequisite before taking the new Series 7 Exam all candidates now must have passed the SIE exam (securities industry essentials exam). In addition thing a series 7 candidate must also have an industry sponsor in order to take the examination. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate's knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” Outline of SIE Exam: https://www.finra.org/sites/default/files/SIE%20Outline-01.12.18.pdf New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers' Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers' Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers' financial status, financial needs and risk tolerance, and helps them identify their investment objectives” “Opens accounts, transfers assets and maintains appropriate account records”

Try 5 free SIE Exam Audio Lessons and see if our teaching style is right for you! Securities Industry Essentials SIE Exam Sample Lesson 4 This is the forth of 5 sample lessons we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" This is the SIE Exam Lesson on Special Securities 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However there is now a prerequisite before taking the new Series 7 Exam all candidates now must have passed the SIE exam (securities industry essentials exam). In addition thing a series 7 candidate must also have an industry sponsor in order to take the examination. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate's knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” Outline of SIE Exam: https://www.finra.org/sites/default/files/SIE%20Outline-01.12.18.pdf New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers' Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers' Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers' financial status, financial needs and risk tolerance, and helps them identify their investment objectives” “Opens accounts, transfers assets and maintains appropriate account records”

John Taft is Vice Chairman at Baird and a member of the firm's Executive Committee. Prior to joining Baird, he served as CEO of RBC Wealth Management, a full-service brokerage firm with nearly 2,000 financial advisors and over $280 billion in assets, for more than 10 years (2005-2016). He is a past chairman of the Securities Industry and Financial Markets Association (SIFMA), where he advocated for responsible financial reform. His book "Stewardship" is read by all of our students during the Leadership Development Program and covers the importance of core principles on a personal, professional, and societal level. Throughout this interview, Ross and John unpack the concept of stewardship and what everyone can do to use finance as a force for good. -- Segments from the episode: 00:00 - Intro 06:45 - John's book "Stewardship" 15:30 - What we can do to make finance a force for good 24:30 - The role of finance in making a positive impact 29:20 - Vehicles that generate value vs. those that extract value 39:30 - To what extent is the financial services industry extractive? 42:00 - Combating inequality and inequity through finance 53:00 - Advice for investors to maximize personal impact -- Join our mission at scholarsoffinance.org

Try 5 free SIE Exam Audio Lessons and see if our teaching style is right for you! Securities Industry Essentials SIE Exam Sample Lesson 3 This is the third of 5 sample lessons we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" This is the SIE Exam Lesson on Preferred Stock 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However there is now a prerequisite before taking the new Series 7 Exam all candidates now must have passed the SIE exam (securities industry essentials exam). In addition thing a series 7 candidate must also have an industry sponsor in order to take the examination. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate's knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” Outline of SIE Exam: https://www.finra.org/sites/default/files/SIE%20Outline-01.12.18.pdf New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers' Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers' Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers' financial status, financial needs and risk tolerance, and helps them identify their investment objectives” “Opens accounts, transfers assets and maintains appropriate account records”

John Davidson, AML expert from the securities industry, shares his views on the difference between traditional banking and securities, recent cases and actions by the Securities and Exchange Commission (SEC), and how he sees the financial crime prevention area changing in the coming years.

Securities Industry Essentials SIE Exam Sample Lesson 1 This is the first of 5 sample lessons we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" This is the introduction to the SIE Exam 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However there is now a prerequisite before taking the new Series 7 Exam all candidates now must have passed the SIE exam (securities industry essentials exam). In addition thing a series 7 candidate must also have an industry sponsor in order to take the examination. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate's knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” Outline of SIE Exam: https://www.finra.org/sites/default/files/SIE%20Outline-01.12.18.pdf New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers' Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers' Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers' financial status, financial needs and risk tolerance, and helps them identify their investment objectives” “Opens accounts, transfers assets and maintains appropriate account records” “Provides customers with information on investments and makes suitable recommendations”

Mr. Hagberg has more than 45 years experience in the Securities Industry. He has held senior level positions in operations, marketing and general management assignments and served on the boards of two highly successful financial services companies. Mr. Hagberg is considered to be one of the nation's leading experts on individual stock ownership programs. He has helped over 100 companies (including companies and government agencies in several Eastern European and Central Asian countries) to launch, improve or remarket programs aimed at customers, employees, existing stockholders and other affinity groups. He is also considered to be a leading expert on the proxy voting process and has served as Independent Inspector of Election, both in contested and uncontested situations, at over 300 annual and special meetings of shareholders. He is the editor and publisher of The Shareholder Service Optimizer, a quarterly newsletter, the bi-annual OPTIMIZER Magazine, and the author of numerous articles published elsewhere. His plain-English publication, What Every Stockholder Needs to Know About “Registered” vs. “Street-Name” Ownership has been mailed by U.S. companies to nearly three million shareholders. If you haven't already and you enjoyed this episode, please subscribe to this podcast and our mailing list, and don't forget, my book, Brexit: The Establishment Civil War, is now out, you'll find the links in the description below. Express VPN 12 Months 35% off!! Watch Us On Odysee.com - Sign up and watch videos to earn crypto-currency! Amazon Music 3 Months Free ORDER BREXIT:THE ESTABLISHMENT CIVIL WAR HERE Get 25% off podcast hosting with Podiant Order GameStop T-shirts Here! RESOURCES https://carlhagberg.com/ https://www.reddit.com/r/Superstonk/comments/n8qq8v/officialamacarlhagbergretail_shareholder/ https://www.youtube.com/channel/UCI4EET9NJPWxUuXGlG6fxPA https://thejist.co.uk/podcast/chatter-81-nicholas-shaxson-on-the-finance-curse/ Follow me on Twitter or sign up for our mailing list here to get information on my book, Brexit: The Establishment Civil War. Music from Just Jim - https://soundcloud.com/justjim

LaSalle Street hosts a discussion with executives representing exchanges, swap dealers, clearinghouses and asset managers on the impact of the Covid crisis and what to watch for as the pandemic eases.   Joining the podcast for this episode are Teo Floor, Chief Executive Officer of CCP12; Ulrich Karl, Head of Clearing Services at the International Swap Dealers Association; Pedro Gurrola Perez, Head of Research at the World Federation of Exchanges; and Jason Silverstein, Associate General Counsel at the Securities Industry and Financial Markets Association.

What would you do if you were given $100,000? Would you spend it all at once? Would you think about putting some of it in the bank? We'd like to teach you how to invest it, so you might grow it. Through The Stock Market Game, you will gain a fundamental understanding of investing and how you might get your money to work for you.On today's episode, we welcome St. Rose's Finance and Business Teacher, Mr. Anthony Attardo, and a few of his students involved in the Stock Market Game. Value traps, P/E ratios and growth potential are often challenging concepts to learn on your own.For students at St. Rose High School, they have the benefit of having a teacher with 30-plus years of experience on Wall Street to help them navigate the market and teach them the basics of what it means to be an investor.Those lessons are put into practice throughout the year, as students in Anthony Attardo's classes are pitting against other students throughout New Jersey in the Stock Market Game [SMG], a weekly student exercise created by the Securities Industry and Financial Markets Association to teach students the fundamentals of the market.Students in Mr. Attardo's accounting, economics and personal finance classes are broken into groups and assigned to manage a portfolio worth $100,000 as part of the game. One group of students, called Lululemon after the company of the same name, earned enough with their hypothetical investments, more than $110,000, to finish the week ending April 16 in sixth place among 750 such groups in the state, and fourth in the region.“From the SMG game, I learned about the importance of stocks and how important it is to have a diverse portfolio that provides well-rounded returns,” Tom Lafferty, a student in the group, said. “What's cool about it is that it provides you the money and you have to be the voice of reason and create an effective portfolio.”The group, made up of Tom Lafferty, Max MacEachern, Victoria Wilson, Chris Huisman and Michael Fluhr, used its hypothetical $100,000 to buy into bluechip companies like Disney, Exxon Mobil, General Motors and Microsoft.“There are a lot of factors that went into choosing stocks,” Michael said. “Our group researched the products, future plans, growth potential and P/E [price/earnings] ratios of many companies. It was important for us to evaluate how a specific company will continue to make money in the future. Another factor in our decision process was diversity. We wanted to make sure we chose successful companies from different sectors like entertainment, technology, and automotive.”When looking at which companies to invest in, the students would have to make the case to their teacher before finalizing the transaction.“When our team was picking and deciding which stock to include in our portfolio, we referred to our own practical anticipations of whether or not said companies stock would be profitable due to the company increasing in size, gaining popularity, and even if that company is recovering and making a comeback from the pandemic,” Chris said.The group also took a chance by putting money into Roku, a video media streaming service that went public in 2017.“When we added Roku to our portfolio we noticed that Roku TVs are very present in our lives,” Michael added. “This led us to research the high growth potential of Roku since they are such a relevant company during this pandemic.”To their teacher, Mr. Attardo, the game works into the overall message of the class and the main lesson he wants students to take away at the end of the year.“It's extremely important, not just for students to know to invest money, but what I try to teach the students here is how to manage their money,” Mr. Attardo said, adding that the Stock Market Game precedes his own time as a teacher at the school. “What I hope the students take from our curriculum is to have adequate...

Try 5 free SIE Exam Audio Lessons and see if our teaching style is right for you! Securities Industry Essentials SIE Exam Sample Lesson 5 This is the last of 5 sample lessons we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" This is the SIE Exam Lesson on Fixed Income (one of 6 lessons on Fixed Income) 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However there is now a prerequisite before taking the new Series 7 Exam all candidates now must have passed the SIE exam (securities industry essentials exam). In addition thing a series 7 candidate must also have an industry sponsor in order to take the examination. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” Outline of SIE Exam: https://www.finra.org/sites/default/files/SIE%20Outline-01.12.18.pdf New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives” “Opens accounts, transfers assets and maintains appropriate account records”

Try 5 free SIE Exam Audio Lessons and see if our teaching style is right for you! Securities Industry Essentials SIE Exam Sample Lesson 4 This is the forth of 5 sample lessons we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" This is the SIE Exam Lesson on Special Securities 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However there is now a prerequisite before taking the new Series 7 Exam all candidates now must have passed the SIE exam (securities industry essentials exam). In addition thing a series 7 candidate must also have an industry sponsor in order to take the examination. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” Outline of SIE Exam: https://www.finra.org/sites/default/files/SIE%20Outline-01.12.18.pdf New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives” “Opens accounts, transfers assets and maintains appropriate account records”

A broker-deal firm’s anti-money laundering efforts may overlap with any number of other regulatory concerns. On the last episode, we looked at the intersection of a firm’s AML and cybersecurity risks. On this episode, the second in a two-part series, we’re looking at how AML may overlap with a firm’s efforts to protect senior investors from exploitation and fraud.Joining us on this episode are Jason Foye, a director with FINRA's Anti-Money Laundering Investigative Unit, and Brooke Hickman, a director with FINRA's Vulnerable Adults and Seniors Team (VAST), both with FINRA’s National Cause and Financial Crimes Detection Program. Resources mentioned in this episode:FinCEN February 2011 Advisory on Filing SARs Regarding Elder Financial ExploitationSARs on Elder Financial Exploitations: Issues and Trends, CFPBDOJ’s Elder Justice InitiativeFINRA Resources on Senior InvestorsFINRA Securities Helpline for SeniorsFINRA Foundation – Aging and Financial Decision Making FINRA Investor AlertsVirtual Conference Panel: Social Distancing and the Impact on Older InvestorsVirtual Conference Panel: Financial Crimes, Trends and Responses In the Midst of the PandemicEpisode 33: Money Laundering in the Securities IndustryEpisode 34: AML Priorities and Best Practices Episode 71: Anti-Money Laundering and Cyber Security 

Try 5 free SIE Exam Audio Lessons and see if our teaching style is right for you! Securities Industry Essentials SIE Exam Sample Lesson 2 This is the second of 5 sample lessons we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" This is the SIE Exam Lesson on Common Stock 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However there is now a prerequisite before taking the new Series 7 Exam all candidates now must have passed the SIE exam (securities industry essentials exam). In addition thing a series 7 candidate must also have an industry sponsor in order to take the examination. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” Outline of SIE Exam: https://www.finra.org/sites/default/files/SIE%20Outline-01.12.18.pdf New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives” “Opens accounts, transfers assets and maintains appropriate account records”

Securities Industry Essentials SIE Exam Sample Lesson 1 This is the first of 5 sample lessons we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" This is the introduction to the SIE Exam 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However there is now a prerequisite before taking the new Series 7 Exam all candidates now must have passed the SIE exam (securities industry essentials exam). In addition thing a series 7 candidate must also have an industry sponsor in order to take the examination. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” Outline of SIE Exam: https://www.finra.org/sites/default/files/SIE%20Outline-01.12.18.pdf New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives” “Opens accounts, transfers assets and maintains appropriate account records” “Provides customers with information on investments and makes suitable recommendations”

Firm regulatory risks and priorities don't exist in a vacuum. And that is perhaps nowhere clearer than when it comes to a firm's anti-money laundering responsibilities. A firm's AML risks can overlap with any number of other priorities. On this episode, the first of a two-part series, we're looking at the intersection of a firm's AML and cybersecurity risks. Joining us are Jason Foye, a director with FINRA's Anti-Money Laundering Investigative Unit, and Dave Kelley, a director with FINRA's Cybersecurity Specialist Program, both with FINRA’s National Cause and Financial Crimes Detection Program. Resources mentioned in this episode:Episode 60: Introducing Greg Ruppert and the NCFCEpisode 33: Money Laundering in the Securities IndustryEpisode 34: AML Priorities and Best Practices SWIFT: How Cyber Attackers ‘Cash Out’ Following Large-Scale HeistsFinCEN October 2020 Advisory on Ransomware FinCEN July 2020 Advisory on CybercrimeFinCEN October 2016 Advisory on Cyber Events

OIR Interviews: How is the Pandemic Impacting the Securities Industry? Guest: Jim Toes, President & CEO - Securities Traders Association (STA) Mark and Jim discuss: How the pandemic is impacting the securities industry.  The challenges, and benefits, of moving the annual STA market structure conference to a virtual format.  Helping industry members who have lost jobs during the pandemic.  The unique challenges posed by the proposed transaction tax in New Jersey.  and much more...

OIR Interviews: How is the Pandemic Impacting the Securities Industry? Guest: Jim Toes, President & CEO - Securities Traders Association (STA) Mark and Jim discuss: How the pandemic is impacting the securities industry. The challenges, and benefits, of moving the annual STA market structure conference to a virtual format. Helping industry members who have lost jobs during the pandemic. The unique challenges posed by the proposed transaction tax in New Jersey. and much more...

On this episode, we'll hear from Dr. Nicole B Simpson  a CFP® with over 29 years of Experience in the Securities Industry and a 9/11 World Trade Center Survivor.  Dr. Simpson will Share with us How her Life was Drastically Altered when the Tower was Hit During the Attacks. She will also Share with us How she Now Assists Families on How to Begin and Walk along the Road to Recovery when Faced with a Catastrophic, Unexpected Disaster. 

This week's roundup looks at the short selling bans and the role of regulation in the economic recovery, a Brexit update & a discussion about the new UTI requirements for SFTR.  Will SFTR be a Big Bang or a Millennium Bug moment for the Securities Industry? 

9/14/2019 Hour 1 Broker qualifications, annuities, regulations, form ADV The post Securities Industry with Douglas Schulz Part 1 appeared first on Paul Winkler, Inc.

9/14/2019 Hour 2 Market timing, reading your statement, beware of guarantees, margin, and options The post Securities Industry with Douglas Schulz Part 2 appeared first on Paul Winkler, Inc.

Alex Merced, Instructor for Greico Financial Training goes over many of the concepts sound on exams like the Securities Industry…

Alex Merced, Instructor for Greico Financial Training goes over many of the concepts sound on exams like the Securities Industry…

Alex Merced, Instructor for Greico Financial Training goes over many of the concepts sound on exams like the Securities Industry…

Alex Merced, Instructor for Greico Financial Training goes over many of the concepts sound on exams like the Securities Industry…

Alex Merced, Instructor for Greico Financial Training goes over many of the concepts sound on exams like the Securities Industry…

Alex Merced, Instructor for Greico Financial Training goes over many of the concepts sound on exams like the Securities Industry…

When three hapless employees inadvertently embezzle a bunch of cash in the movie “Office Space,” they decide the best way to cover it up is to launder it. But the thing is, they don’t even really know what money laundering is and they learned that even the dictionary couldn’t fill them in. If you want to understand what money laundering is, and more specifically, the efforts brokerage firms must take to prevent and detect it, stay tuned. We have something better than the dictionary: we have Blake Snyder and Jason Foye, two members of FINRA’s Anti-Money Laundering Investigative Unit. On this episode of FINRA Unscripted, Blake and Jason explain what money laundering is, how it looks different in the securities industry, how that makes regulation different for the securities industry, what FINRA’s Anti-Money Laundering Investigative Unit does and more. Resources mentioned in this episode: Key Topics: AML AML FAQs AML Half-Day Seminars

Securities Industry Essentials SIE Exam Sample Lesson 5 Fixed Income pt 1 This is the forth of 5 sample lessons we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 5 Fixed Income pt 1 The full course details: 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However there is now a prerequisite before taking the new Series 7 Exam all candidates now must have passed the SIE exam (securities industry essentials exam). In addition thing a series 7 candidate must also have an industry sponsor in order to take the examination. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” Outline of SIE Exam: https://www.finra.org/sites/default/files/SIE%20Outline-01.12.18.pdf New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives” “Opens accounts, transfers assets and maintains appropriate account records”

Securities Industry Essentials SIE Exam Sample Lesson 4 Securities Industry Essentials SIE Exam Sample Lesson 4 is the fourth of 5 sample lessons we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 4 Special Securities The full course details: 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam New Series 7 Exam and SIE Exam details. FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” Outline of SIE Exam: https://www.finra.org/sites/default/files/SIE%20Outline-01.12.18.pdf New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives”

Securities Industry Essentials SIE Exam Sample Lesson Preferred Stock This is the third of 5 sample lessons we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" This one is Securities Industry Essentials SIE Exam Sample Lesson 3 Preferred Stock Full details of the course are here: 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However there is now a prerequisite before taking the new Series 7 Exam all candidates now must have passed the SIE exam (securities industry essentials exam). In addition thing a series 7 candidate must also have an industry sponsor in order to take the examination. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” Outline of SIE Exam: https://www.finra.org/sites/default/files/SIE%20Outline-01.12.18.pdf New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives” “Opens accounts, transfers assets and maintains appropriate account records”

Today on Hempresent we are joined by attorneys Joshua Horn and Bill Bagot. Bill and Joshua are the co-chairs of the firm's nationwide Cannabis Law Practice at Fox Rothschild LLP.Bill represents clients in highly regulated industries, particularly gaming and cannabis. He has worked for all three branches of the Illinois government: the executive, legislative and judiciary. However, Bill represents clients nationwide, both in regulatory matters and civil litigation. Joshua is co-chair of the Securities Industry practice and co-chair of the Cannabis Law practice. Joshua represents major financial services companies in matters throughout the country. He also represents financial advisory companies, individual advisors, and counselors in FINRA examinations, enforcement and arbitrations. Joshua has also represented individual brokers on disciplinary matters before FINRA and state securities commissions, and has represented companies and individuals in SEC investigations.

Securities Industry Essentials SIE Exam Sample Lesson 2 This is the second of 5 sample lessons we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" This is the SIE Exam Lesson on Common Stock 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However there is now a prerequisite before taking the new Series 7 Exam all candidates now must have passed the SIE exam (securities industry essentials exam). In addition thing a series 7 candidate must also have an industry sponsor in order to take the examination. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” Outline of SIE Exam: https://www.finra.org/sites/default/files/SIE%20Outline-01.12.18.pdf New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives” “Opens accounts, transfers assets and maintains appropriate account records” “Provides customers with information on investments and makes suitable recommendations”

Securities Industry Essentials SIE Exam Sample Lesson 1 This is the first of 5 sample lessons we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" This is the introduction to the SIE Exam 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However there is now a prerequisite before taking the new Series 7 Exam all candidates now must have passed the SIE exam (securities industry essentials exam). In addition thing a series 7 candidate must also have an industry sponsor in order to take the examination. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” Outline of SIE Exam: https://www.finra.org/sites/default/files/SIE%20Outline-01.12.18.pdf New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives” “Opens accounts, transfers assets and maintains appropriate account records” “Provides customers with information on investments and makes suitable recommendations”

The organization known as SIFMA goes back to 1912. It is a trade group which was first known as the Investment Bankers Association of America, then for many years, the Securities Industry Association, and now, the Securities Industry and Financial Markets Association (SIFMA). SIFMA may be best known for a game played by middle school and high school students that represents the only economic education that some of them ever get before going out into the working world — The SIFMA Stock Market Game™. SIFMA’s CEO is Ken Bentsen. He’s a former member of Congress, who, in a relatively short eight years in the House, compiled a rather lengthy resume of bipartisan financial solutions. Meet Ken Bentsen.   Key Takeaways: [:19] Ray Hoffman describes the Securities Industry and Financial Markets Association (SIFMA) and gives background on its CEO, Ken Bentsen. [1:09] Ray introduces Ken Bentsen. [1:11] Ken comments on SIFMA’s mission statement, “SIFMA exists to advocate that America’s capital markets operate effectively and efficiently to the benefit of all market participants.” Ken describes the maturity of the U.S. capital market system and its correlation with the U.S. economy. [1:51] Ken notes that the capital market system is one of the most highly-regulated industries in the United States. While regulations ensure a level playing field, it is also important that markets are able to operate efficiently and effectively. If not, credit will not be allocated to the best ideas — the great innovations that create jobs. [2:33] The U.S. capital market has created an upward sloping chart in terms of the growth of the U.S. economy, going back 200 years. Even coming out of the 2008-2009 Great Recession, the U.S. came back more quickly than other jurisdictions around the world. Ken credits the resiliency of the U.S. capital market system. [3:34] Ken’s covers his career path, from his Master’s degree in public administration to working as a Congressional staffer, to following Congressional finance committees, to working in public finance in New York, to the House of Representatives working on financial services legislation, to consulting, to running a trade association, to SIFMA. [6:06] Ken served for four terms in Congress from Houston. He lists the committees on which he served, all tied to finance and budget. [6:18] Ken discusses the public’s general understanding of finance today vs. 20 years ago when he was in Congress. People feel pressure from the financial issues that impact them personally, whether that’s housing, cost of living, healthcare, or the effect of trade on jobs. People can get more for their dollar today, including new technologies. [8:01] It is most important to grow the economy as much as we can, to be able to solve fiscal issues. [8:33] Capital markets definitely play a role in growing the economy. Ken says, “We’re not the end — we’re the means to the end.” [8:42] The Stock Market Game™ is run by the SIFMA Foundation, which has been in place for 40 years. The Stock Market Game™ is the premier program that they do in thousands of schools across the U.S., touching hundreds of thousands of students every year. [9:27] The SIFMA Foundation built on the game over 40 years with programs like InvestWrite®, and Invest It Forward™. The results are amazing to see. They impact middle school and high school students, their teachers, and parents. Sixth, seventh, and eighth grade students in the programs do research reports. [10:05] This is important not only from the standpoint of financial literacy, but it also goes toward understanding the structure of the American economy, built in part on our financial system, which makes our economy stronger in contrast to other economies. [10:26] 12,000 schools in all 50 states participate in the programs every year, involving 600,000 students and 15,000 teachers. In 40 years, 18 million students have gone through the program. The SIFMA Foundation is working harder every year to increase participation. [10:47] SIFMA works with The SIFMA Foundation every year to do a competition to bring the top 10 schools to Washington D.C. to meet with their Representatives and Senators. This underscores to the students coming from all over how big and diverse this country is. [11:18] Students from all walks of life come in and talk about portfolios they’ve put together, the things that worked, and mistakes they made. They talk about looking at price reports every day, and research reports. It’s just amazing. [11:34] The top 10 winners of The Stock Market Game™ 2018 Capitol Hill Challenge came almost equally from areas represented by Democrats and areas represented by Republicans. Ken says it is really refreshing to see what The Stock Market Game™ does with these kids from all walks of life. [12:11] “To the benefit of all market participants” - Ray quotes the SIFMA mission statement. In the truest sense of the U.S. economy, we are all market participants. This is capitalism.   Mentioned in This Episode: SIFMA The Stock Market Game™ Ken Bentsen Drexel Burnham The SIFMA Foundation InvestWrite® Invest It Forward™ Capitol Hill Challenge Stephens.com This Is Capitalism

SIE Exam: Outline The Securities Industry Essentials Exam (SIE Exam) outline is discussed in this podcast.  The SIE Exam outline is published at the FINRA Website and is available to be downloaded in a PDF Document here.                                                                            The Securities Industry Essentials Exam Podcast (SIEPodcast.com) is for the individual who is interested in working in the financial services industry. To enter this profession there is now the requirement effective October 1, 2018 to take and pass the Securities Industry Essentials Exam (SIE Exam). This exam is a prerequisite exam needed prior to taking most of the other FINRA Series of Exams. The SIE Exam Podcast is for the individual who is interested in working in the financial services industry. To enter this profession there is now the requirement effective October 1, 2018 to take and pass the SIE Exam. This exam is a prerequisite exam needed prior to taking most of the other FINRA Series of Exams. This SIE Exam Podcast will contain a series of sample lessons which will cover the material required to be mastered in order to pass the Securities Industry Essentials Exam. This introduction to the SIE Exam podcasts, Outlines the exam and what is covered in the exam. In order to take the SIE Exam all that is required is that the candidate is 18 years or older it is not required that you are currently working in the financial services industry. Here are testimonials from my Series 7 Study Guide audio lessons New Series 7 Exam and SIE Exam New Series 7 Exam and SIE Exam details. FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However there is now a prerequisite before taking the new Series 7 Exam all candidates now must have passed the SIE exam (securities industry essentials exam). In addition thing a series 7 candidate must also have an industry sponsor in order to take the examination. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” Outline of SIE Exam: https://www.finra.org/sites/default/files/SIE%20Outline-01.12.18.pdf New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential ...

What is the Securities Industry Essentials Exam Podcast? The Securities Industry Essentials Exam Podcast is for the individual who is interested in working in the financial services industry. To enter this profession there is now the requirement effective October 1, 2018 to take and pass the Securities Industry Essentials Exam (SIE Exam). This exam is a prerequisite exam needed prior to taking most of the other FINRA Series of Exams. This Securities Industry Essentials Exam Podcast will contain a series of sample lessons which will cover the material required to be mastered in order to pass the Securities Industry Essentials Exam. This introduction to the Securities Industry Essentials Exam podcasts, Outlines the exam and what is covered in the exam. In order to take the Securities Industry Essentials Exam all that is required is that the candidate is 18 years or older it is not required that you are currently working in the financial services industry. What is the Securities Industry Essentials Exam Podcast Effective October 1, 2018 Financial Industry Regulatory Authority (FINRA) changed the licensing of those that wish to work in the financial services industry. There is now a required prerequisite for most of the Licensing tests and this is the Securities Industry Essentials Exam Securities Industry Essentials Exam is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Unlike the licensing exams such as the Series 4,6, 7, 9, 10… which require te candidate to be employed by a member firm, Securities Industry Essentials Exam is open to anyone over te age of 18 including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. Essentials exam results are valid for four years. More information on the http://www.finra.org/industry/essentials-exam

Looking to break into the financial services industry? It is about to get easier. On October 1, 2018, FINRA will launch a new exam that consolidates the fundamental knowledge shared across several of FINRA’s existing Series exams into a single Securities Industry Essentials (SIE) exam. Additional “top-off” exams, such as the Series 7, will be trimmed down to focus only on the specific knowledge needed for that qualification—eliminating overlap in licensing exams and creating a more efficient program. And the biggest change: you don’t have to be associated with a financial firm to take the SIE exam. So get your number two pencils ready and tune in to this episode of Unscripted, where John Kalohn, FINRA’s Vice President of Testing & Continuing Education, joins us to provide insight that just might help you ace the SIE exam. Resources mentioned in this episode: Registered Representatives Brochure SIE Exam Content Outline

Marc Butler is the Chief Operating Officer and a Managing Director for Albridge, an affiliate of Pershing, a BNY Mellon company. Formerly, Marc managed the Business Development Group for iNautix USA, where he oversaw sales, client relationship management and overall Marketing activities. Prior to that, Marc was the general manager of Pershing’s NetExchange® suite of solutions. Marc joined Pershing in 1994 as a client service associate in PC Financial Network. He has previously served on the firm’s Conversion Task Force and the Bank Market Segment team. Marc has been in the financial services industry for more than 20 years and was formerly a member of both the Securities Industry and Financial Markets Association (SIFMA) Internet Roundtable and SIFMA Investor Education Advisory Committee. He was previously the featured technology columnist in Boomer Market Advisor, a monthly magazine targeted at investment professionals. Marc frequently speaks at industry conferences including the Financial Services Institute and BISA annual conferences. Marc earned a Bachelor of Science degree in Finance from Syracuse University and has also completed the Securities Industry Institute® program, sponsored by SIFMA at the Wharton School of the University of Pennsylvania. He has also taken graduate classes in the School of Education at Syracuse University and continuing education coursework in Technology and Financial Planning. What you’ll learn about in this episode: The Business Leader’s Toolkit System: a mechanism for putting people first Employees creating a personal business plan for where they want to take their career Mentoring employees that know where they want to go — and those that have no idea The mentoring program that matches the associate up with the right mentor to guide them — even if it’s not a person inside the company A reverse mentoring program where younger, less experienced employees mentor up on things that they’re knowledgeable about (like new technology, for example) Job shadowing: having employees get their feet wet on a new role by shadowing someone in that role Job rotation: rotating people into new roles to keep them interested and engaged and further their development Ways to contact Marc: Website: www.albridge.com LinkedIn: www.linkedin.com/in/marcbutler Email: mbutler@albridge.com A transcript of this episode is available here: http://systemexecution.com/business-leaders-toolkit-system-business-leadership/

Shannon Bloemker, founder and CEO of Glasshouse.com, joins Host Deirdre Breakenridge on Women Worldwide. Shannon has extensive experience in residential design, construction management, cost control, green building, and home maintenance. After having learned the value of good property management during her years as a strategist and co-owner of Five Ten Capital, Shannon founded Glasshouse in 2015 to bring the benefits of preventative maintenance to the single-family owner-occupied market. On the show, Shannon discussed how a circuitous path took her from working 80-hour weeks on Wall Street to 80 hours weekly as an entrepreneur and owner of her start-up company.  With a passion for sustainability, she created Glasshouse to help homeowners sustain their biggest investments in life … their homes. Shannon shared the challenges of marketing to niche audiences and building strong partnerships. Social media, PR and relationship building and trade shows have been instrumental in increasing company awareness and thought leadership. Shannon also offered her advice to other entrepreneurs on problem-solving, delegating responsibilities and how to keep your priorities top of mind. A little more about Shannon Bloemker …  Shannon earned her Master’s Degree from Harvard in Environmental Science & Sustainability after changing careers from the Mortgage-backed Securities Industry at Salomon Brothers and Franklin Templeton Funds. She also managed six high-end residential construction projects for investment, each of which required a yearlong process of design, value engineering, strategic planning, and oversight. You can connect with Shannon on LinkedIn and Twitter @shannonbloemker

Barefoot Innovation usually explores technology that touches financial consumers - new products and new ways of managing money. Today's episode pivots 180 degrees and looks internally, inside financial companies, at the equally transformative change underway in how financial products are made and delivered. My conversation is with Blythe Masters, CEO of Digital Asset Holdings, and our topic is the blockchain -- distributed ledger technology, or DLT. Most of our listeners know that the blockchain, created by the inventors of Bitcoin, is expanding far beyond digital currency and has revolutionary potential for changing how society operates.  Any complex system that keeps records or involves chains of transactions - payments, contracts, titles, tickets, warranties, exchanges of all kinds, government records, medical information, purchasing systems - anything -- can potentially be managed through distributed ledgers that can eliminate most of the current costs as well as errors, uncertainty, and fraud. DLT can also enable trustable transactions among parties who don't know each other, without need for a trusted intermediary. That's because safeguards are built into the technology itself, by making all the records and transactions transparent to all parties and preventing duplication or fabrication of information. Blythe Masters says she began as a skeptic because, like many people, she equated the blockchain with Bitcoin and, given Bitcoin's colorful developments, dismissed both. However, after leaving her long career as a senior executive at JPMorgan Chase, she took a closer look and became a convert. Today she's leading one of the most exciting and best-financed firms in the field, Digital Asset Holdings in New York. We had a chance to sit down together at the 2016 Fintech Forum of Women in Housing and Finance in Washington, where she shared her vision for the power of DLT to transform the internal operations of banks. Note that DLT systems can be either open-access and "permissionless," moving information on the open internet as with digital currency, or can be closed and "permissioned" within a single organization or a gatekeeping group that shares a common need. (For more on open systems and digital currency, see our episode with Jeremy Allaire of Circle.) Large banks are actively exploring use of closed DLT systems to streamline their internal operations to cut out expense, mistakes, and the slowness caused by the need for reconciliation of records. These efforts will bring enormous cost savings, for three reasons. First, the DLT system is simply cheaper to operate. Second, it eliminates many kinds of errors - and preventing, detecting and correcting errors is a massive source of expense in every financial company. And third, reducing delay will also reduce the need to hold capital against the risks that attend pending transactions. I would add that DLT will, over time, open up the opportunity to modernize and streamline regulation itself, through use of "reg-tech" relies on automated data in many areas that are now subject to expensive traditional examination. Blythe thinks DLT is coming to banking much faster than people think - that these solutions will be in commercial deployment in just two years! One reason is that banks can modularize them, dropping DLT into functions that need it and then connecting them up with the other, older systems. She makes another interesting argument, which is that those notoriously outdated old systems are going to have to be replaced soon anyway. Many are about thirty years old use computer languages no longer taught in college. The industry will have to invest in new technology, and DLT solutions will fortunately be ready at just the right time to permit a real leap forward in efficiency and effectiveness. Blythe also says regulators are thinking right about these challenges and have the right tools to manage them. Her company is focused on banks' non-consumer activities, but think about the impact of these changes for everyone. Smart phones are demolishing the cost structure of delivering financial services, worldwide. Simultaneously, DLT is demolishing the cost of manufacturing and servicing them. The combination will bring vastly more efficient, affordable and accessible services. Blythe Masters is a fascinating person. She was previously a senior executive at J.P. Morgan, where she started as an intern and spent 27 years. In 2007 she was named head of Global Commodities, and left the firm in 2014 upon the unit's successful sale. She had also been responsible for the Corporate & Investment Bank's Regulatory Affairs, and was a member of the J.P. Morgan Corporate & Investment Bank Operating Committee and previously the firm's Executive Committee. From 2004 to 2007, she was Chief Financial Officer of the Investment Bank. Previously she headed the Global Credit Portfolio and Credit Policy and Strategy. Earlier positions included head of North American Structured Credit Products, co-head of Asset Backed Securitization and head of Global Credit Derivatives Marketing. From 2012 to 2014, Blythe was chair of the Global Financial Markets Association (GFMA). From 2008-2010 she was chair of the Securities Industry and Financial Markets Association (SIFMA). She currently chairs the board of Santander Consumer USA Holdings and serves on the boards the Breast Cancer Research Foundation and the Global Fund for Women. She is an avid amateur equestrian. Her efforts have long generated interest and buzz, including this feature story in Bloomberg, others in Fortune and CNBC, and a Financial Times story on her company's blockchain test with Chase. In our discussion I quoted from an invaluable report on DLT by the Bank of England. Here is the quote I cited in our conversation - the report's opening lines:               "The progress of mankind is marked by the rise of new technologies and the human ingenuity they unlock. In distributed ledger technology, we may be witnessing one of those potential explosions of creative potential that catalyse exceptional levels of innovation....that could prove to have the capacity to deliver a new kind of trust to a wide range of services." Please enjoy this thought-provoking conversation with Blythe Masters.   Support the podcasts - A buck a show! I've decided to distill a lesson from the popular podcast series Hardcore History, by emulating their habit of asking everyone to send them "a buck a show." Some years ago, the show's host Dan Carlin realized the podcast was taking over his life - much as Barefoot Innovation has been doing with mine! He hit on the idea of asking listeners for "a buck a show," and eventually reached the point where he can devote himself to producing the series. Barefoot Innovation is produced part-time by me and two young, very talented helpers. One of them has a day job and the other is a full-time graduate student. If all our listeners will chip in a buck a show, we'll be able to expand our interviews, accelerate our pace (believe it or not, we currently run at a four- to five-month backlog from recording date to posting!), and be able to do some fun new things we have in mind for you. We'll appreciate any and all help to keep the show going, and growing! And remember to post a review on iTunes. Support the Podcast Subscribe to Our Mailing List Sign up with your email address to receive news and updates. Email Address Sign Up We respect your privacy. Thank you!

John G. Taft is CEO of RBC Wealth Management in the U.S. Mr. Taft is responsible for RBC's wealth management growth strategy in the U.S. which consists of helping clients achieve their financial objectives through a full- service wealth management offering (investment management, retirement planning, cash management, credit and lending, insurance trust, estate planning and other solutions); and enhancing the productivity of financial advisors and relationship managers in RBC's Private Client Group, Correspondent Services, Advisor Services and U.S.-based international businesses. Mr. Taft has worked in financial services since 1981. He has served as Chairman-Elect and Chairman of the Securities Industry and Financial Markets Association (SIFMA), the leading securities industry trade group representing securities firms, banks and asset managers in the United States. He is an industry thought leader who frequently speaks at government and industry events and who is widely quoted in the media. He is also executive sponsor of the firm's PRIDE group, representing the interests of LGBT employees and clients.He is the author of “A Force for Good: How Enlightened Finance Can Restore Faith in Capitalism,” for which Mr. Taft gathered more than 20 industry leaders to share their fresh perspectives on creating solutions for positive social outcomes and a sustainable financial future. He is also the author of "Stewardship: Lessons Learned from the Lost Culture of Wall Street," which explores the importance of stewardship as a core principle.Jason talks with John about the state of the financial services industry today, what it COULD be, and how we can get it there again.Key Takeaways:[4:10] Why Wall Street falls into the cycle of corruption at least once every generation[5:22] If anyone actually goes to work on Wall Street to help people[6:39] John gives a surprise example of a country whose financial sector is doing what we want ours to do, but with a lot fewer financial institutions[7:33] Why financial services institutions actually exist (hint: it's not to make money for the share holders)[8:56] Why the original reasoning for Wall Street is so important, and where you can look today to prove that it's still true[10:22] The important fact about capitalism that gets lost in the income inequality discussion[12:37] Real markets vs the expectations market and the importance of keeping them separate[15:36] Trying to find a solution to the reoccurring financial services industry problems, whether that be more regulation, less regulation, or something out of left field[18:11] The "Future of Finance" initiative being done by the Charter Financial Analysts to try and bring morality back into the financial services industry [19:03] Why the term "financial innovation" doesn't have to make you cringe and shield your wallet[20:48] RBC Wealth Management's views on their belief that we're in a long term secular bull market for equitiesWebsites Mentioned:www.cfainstitute.orgRobert Shiller's book - Finance and the Good Societywww.rbcwealthmanagement.com

June 12, 2014 - Read the full Forbes article and watch the interview here: http://onforb.es/1ipDCXW. Subscribe to this podcast on iTunes by clicking here: http://bit.ly/ymotwitunes or on Stitcher by clicking here: http://bit.ly/ymotwstitcher. RBC has committed $50 million to improving global access to clean water. Each year, RBC holds a “Blue Water Day” on which employees engage in local water projects in their communities. RBC reports that past projects have included: -Planting trees to manage runoff -Shoreline cleanups to keep solid waste out of rivers -Street cleanups, recognizing that 20% of “street litter” ultimately ends up in rivers, lakes and streams On June 12, 2014, RBC will be conducting its annual Blue Water Day. More about RBC Wealth Management: World Economic Forum named RBC among the most sustainable large organizations in the world. RBC has also been named one of “Canada’s Greenest Employers,” one of “Canada’s Best Diversity Employers,” one of “Canada’s Most Socially Responsible Corporations,” and one of the “Best 50 Corporate Citizens in Canada.” RBC has been also recognized among the world’s financial, social and environmental corporate leaders for the 13th consecutive year on the 2013 Dow Jones Sustainability World Index. RBC Blue Water Day: RBC Employees RBC Blue Water Day: RBC Employees More about the RBC Blue Water Project: The RBC Blue Water Project is a wide-ranging program dedicated to protecting the world’s most precious natural resource: fresh water. In 2013-2014, we will support initiatives that help protect water in our growing towns and cities. We also promote responsible water use with our employees and clients, are committed to reducing the intensity of our own water footprint and encourage the growth of water businesses. taft_john-c-disa011-2012 John Taft, RBC Taft’s bio: RBC Wealth Management ¬ U.S. John is CEO of RBC Wealth Management, the seventh largest full-service retail brokerage firm in the U.S. He has worked in the financial services industry since 1981. He has been active in the Securities Industry and FinancialMarkets Association (SIFMA) where he served as chairman-elect in 2010 and chairman in 2011. He has published articles in The New York Times, Harvard Business Review, Business Insider, and Forbes, and authored ³Stewardship: Lessons Learned from the Lost Culture of Wall Street² (John Wiley & Sons 2012). As a LinkedInLNKD -0.02% influencer, John is among the prestigious invitation-only group of industry leaders who provide ongoing thought leadership blogs. He graduated magna cum laude, Phi Beta Kappa from Yale University and earned an M.A. in public and private management from the Yale School of Organization and Management.

March 20, 2014 - You can read the Forbes articles and watch the interview here: http://onforb.es/1j9Atwg. Subscribe to this podcast on iTunes by clicking here: http://bit.ly/ymotwitunes. In recognition of World Water Day, Saturday, March 22, 2014, I’ll be visiting here live with John Taft, the CEO of RBC Wealth Management-US, about RBC’s Blue Water Project. Through the project, RBC has allocated almost $46 million of a $50 million commitment to improve access to clean drinking water and to fund related research at universities. The Blue Water Project has committed $38 million to 650 charitable organization working to preserve watersheds and improve access to clean drinking water. Another $7.8 million has been committed to universities. Water is increasingly having impact on business as demands for water increase along with global populations. RBC has indicated a desire to play a role in developing sustainable water policies. On Friday, March 21, 2014, at 1:00 Eastern, Taft joined me for a live discussion of about RBC’s efforts with regard to water. You can now listen to the interview here. Taft’s bio: RBC Wealth Management ¬ U.S. John is CEO of RBC Wealth Management, the seventh largest full-service retail brokerage firm in the U.S. He has worked in the financial services industry since 1981. He has been active in the Securities Industry and Financial Markets Association (SIFMA) where he served as chairman-elect in 2010 and chairman in 2011. He has published articles in The New York Times, Harvard Business Review, Business Insider, and Forbes, and authored ³Stewardship: Lessons Learned from the Lost Culture of Wall Street² (John Wiley & Sons 2012). As a LinkedIn LNKD -3.77% influencer, John is among the prestigious invitation-only group of industry leaders who provide ongoing thought leadership blogs. He graduated magna cum laude, Phi Beta Kappa from Yale University and earned an M.A. in public and private management from the Yale School of Organization and Management.

Tom Nides is a Managing Director and Vice Chairman of Morgan Stanley, a leading global financial services firm. He focuses on the Firm’s global clients and other key constituencies around the world, serves as a member of the Firm’s Management Committee and Operating Committee, and reports to Morgan Stanley Chief Executive Officer James Gorman. Prior to rejoining the Firm in March 2013 in his current role, Mr. Nides was Deputy Secretary of State, serving as Chief Operating Officer of the Department. Appointed by President Obama, he was confirmed by the Senate on December 22, 2010 and sworn in on January 3, 2011. Previously, Mr. Nides was the Chief Operating Officer of Morgan Stanley from 2005 to 2010. He was an executive officer and served as a member of Morgan Stanley’s Management Committee and Operating Committee. Before joining Morgan Stanley, Mr. Nides served as Worldwide President and Chief Executive Officer of Burson-Marsteller and as Chief Administrative Officer of Credit Suisse First Boston, the investment banking division of Zurich-based Credit Suisse Group. Mr. Nides began his career on Capitol Hill, as Assistant to the Majority Whip of the United States House of Representatives and Executive Assistant to the Speaker of the House. Mr. Nides later served as Senior Vice President of Fannie Mae and as Chief of Staff to the United States Trade Representative. Mr. Nides serves on the Board of the Urban Alliance Foundation, the Atlantic Council and is a Member of the Council on Foreign Relations. Prior to serving in government, Mr. Nides was the Chairman of the Securities Industry and Financial Markets Association and a member of the Advisory Board of the National Zoo. Mr. Nides, a graduate of the University of Minnesota, is married with two children.

- Judd Gregg, CEO Securities Industry and Financial Markets Association - Please call 1-800-388-9700 for a free review of your financial portfolio

Once again, the Wall Street Journal shoots itself in the foot...or, at least, makes a strong case against technical analysis as a predictive tool. This evening's show should be an upbeat look at the investing landscape. Let's make it a round-table. C'mon in and dial "1" to join the fun!

Once again, the Wall Street Journal shoots itself in the foot...or, at least, makes a strong case against technical analysis as a predictive tool. This evening's show should be an upbeat look at the investing landscape. Let's make it a round-table. C'mon in and dial "1" to join the fun!

This broadcast gets back to the basics. Ellis Traub discusses the five reasons why his investment methods work and others don't.

This broadcast gets back to the basics. Ellis Traub discusses the five reasons why his investment methods work and others don't.