Podcasts about sifma

Treasuries function as the benchmark asset in bond markets, underscoring their importance in borrowing rates and global financial conditions. As fears of higher future Treasury supply loom large, bond investors look to certain metrics to help understand how well the market is absorbing increasing levels of public debt. Changes in Treasury yields reflect underlying macroeconomic fundamentals, but they are also driven by central banks' balance sheet management, the maturity profile of newly issued securities, and the market response when new debt comes to market. In this episode, we talk with Peter Ryan, Managing Director and Head of International Capital Markets and Strategic Initiatives at SIFMA, about the day-to-day mechanics of the Treasury market, how to interpret Treasury auctions, and how rising federal deficits are shaping the longer-term bond market outlook. 

The securities and the fund markets need to be digitally transformed. The profits of the asset and wealth management industries are being squeezed by shrinking fees and rising costs. Tokenisation of both funds and the underlying securities can, properly construed, solve the problem. Unfortunately, the overwhelming majority of tokenisations of securities and funds are more like securitisations than tokenisations. Like mortgage-backed securities, they are asset-backed. Which means they are not truly digital assets at all but mere derivatives of assets which continue to exist in their traditional form, whether that is physical (as with real estate or precious metals) or digital (an oft-cited paradox is that most securities and funds exist only as digital entries in computer systems already). As a result, the medley of intermediary institutions that has developed over decades to support the traditional funds and securities industries remains undisturbed as well. This is, of course, the attraction of asset-backed tokenisation. It threatens no incumbent business with disintermediation and requires minimal changes to the existing corpus of securities and fund markets laws and regulations. But it is also the problem, because it changes next to nothing. According to SIFMA, the revenues of the global investment banking industry alone took an average of US$92.4 billion a year out of the capital markets between 2018 and 2022. But the exchanges that list securities, the brokers that execute trades on exchanges, the custodians that safekeep securities, the fund accountants that value securities, the transfer agents that maintain registers of holders of securities, the central counterparty clearing houses (CCPs) that intermediate and net trades and the central securities depositories (CSDs) that settle trades all have to be paid as well. So it is not surprising that tokenisation of securities and funds is not taking off – it has yet to be tried seriously. This webinar will explore what true tokenisation is, what it can do for the buy-side and what it might do to as well as for the sell-side, and how to make it happen.What topics will be discussed?What is the difference between asset-backed and genuine tokenisation?What explains the current preference for asset-backed tokenisation?What new products and services does genuine tokenisation make possible?In what ways does genuine tokenisation threaten current intermediaries?What new opportunities does genuine tokenisation create for current intermediaries?Are asset managers, issuers, investors and regulators supportive of change?Do securities and fund laws and regulations have to change to accommodate genuine tokenisation?Does genuine tokenisation require fiat currency in digital form?What technologies will underpin the future of digital asset issuance, trading and servicing?Who or what will make change happen?Who is on the panel?Rajeev Tummala, Head of Digital and Data at HSBC Securities ServicesStefano Dallavalle, Head of Product, Digital Assets at R3Ami Ben-David, Founder and CEO at OwneraRalf Kubli, Board Member at Casper AssociationModerated by Dominic Hobson, Co-Founder at Future of Finance Hosted on Acast. See acast.com/privacy for more information.

On May 28th, U.S. markets are moving to a one-day settlement cycle, familiarly known as T+1. This move, which returns the settlement time frame back to a point at which it last stood a century ago, will have wide ranging impacts for firms, investors and regulators. On this episode, we hear from James Barry, Director of Credit Regulation with FINRA's Office of Financial and Operational Risk Policy, Bobby Gomez, a Senior Director with Market Regulation and Transparency Services' Strategic Initiatives team, Mike MacPherson, a Senior Advisor in Member Supervision's Risk Monitoring group, and John Nachmann, Associate General Counsel with the Office of General Counsel's Regulatory Practice, to discuss what all market participants need to be thinking about and testing ahead of the transition.Resources mentioned in this episode:Episode 127: Understanding the Unique Risks of Every FirmDTCC: The Key to T+1 Success BlogReg Notice 23-15: Regulation T and SEA Rule 15c3-3 ExtensionTechnical Notice: T+1 Settlement TestingFINRA Margin RegulationFINRA Investor Insight: Understanding Settlement Cycles2024 Annual Regulatory Oversight Report

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.

SIFMA's Leslie Norwood joins Bond Buyer Executive Editor Kyle Glazier for a discussion about the regulatory and legislative outlook for broker-dealers. 

Friday Flyover of politics and elections news from America's heartland | TX GOP Rep Chip Roy says he'd boot MAGA Mike over funding bill | Missouri Sec of State on track to waste more money and lose more court cases | Lauren Boebert switches districts, CO GOP Rep Doug Lamborn announces retirementSOURCES: The Heartland Collective, Axios, St. Louis Post-Dispatch, Missouri Independent, Fox17 WZTV Nashville, Iowa Capitol DispatchIs Speaker Mike Johnson Already on the way out? https://www.axios.com/2024/01/11/mike-johnson-house-speaker-motion-vacateFrom ArticleDriving the news: A dozen right-wing House Republicans blocked a package of their party's bills and ground the House floor to a sudden halt on Wednesday in protest of Johnson's spending deal with Senate Democrats.It's a repeat of of what hardliners did under former Speaker McCarthy over his bipartisan debt ceiling deal – which ultimately foreshadowed his removal months later through a motion to vacate.The move came as Rep. Chip Roy (R-Texas) has been flirting with the idea of trying to remove Johnson, saying in a radio interview on Tuesday: "If they totally botch [the appropriations bills] ... I don't know why we would keep him as speaker."One Republican leadership ally described the revolt as a "shot across the bow."Missouri AG and recent melted blob of flesh on CNN, Jay Ashcroft, gets smacked down in courthttps://www.stltoday.com/news/local/government-politics/judge-rejects-jay-ashcroft-s-bid-to-dismiss-high-profile-lawsuit-against-his-office/article_01f1fdc6-af1c-11ee-8076-27fdb2bf7fa8.html?utm_medium=social&utm_source=twitter&utm_campaign=user-shareComplaint https://business.cch.com/srd/20231023_SIFMA-v-Ashcroft_amended-complaint.pdfFrom the articleA federal judge rejected an effort by Secretary of State Jay Ashcroft to dismiss a lawsuit against his office over new, politically charged rules aimed at limiting the impact of environmental, social and governance factors in investment decisions.In a ruling Friday, U.S. District Judge Steven Bough ruled unanimously in favor of a trade group that is suing the Republican gubernatorial candidate and his office on the grounds that the rule imposed by Ashcroft fails to acknowledge that federal law already requires financial advisers to act in the best interest of their clients when providing personalized investment advice.“The court finds that Plaintiff adequately alleges that the rules violate the First Amendment,” Bough wrote. “The court finds that Plaintiff adequately alleges that the rules are unconstitutionally vague.”And Bough said the trade organization can continue its pursuit of the case because it has the legal standing to represent financial advisers who object to Ashcroft's rule.Ashcroft issued the rules — the first in the nation — after a similar “anti-woke” investing proposal died in the Legislature last year.Ashcroft, who is facing Lt. Gov. Mike Kehoe and Sen. Bill Eigel in the August 2024 GOP primary, has used the lawsuit to raise money for his gubernatorial campaign, where culture war issues have played a prominent role.And, he is using taxpayer funds to pay a campaign donor to represent his office in the lawsuit.Instead of using the Missouri attorney general's office to fight the challenge to the rules, Ashcroft hired the politically connected Kansas City law firm of Graves Garrett to represent his office.Law firm partner Todd Graves, a former head of the Missouri Republican Party, was named to the University of Missouri board of trustees in 2021 and Greim was mentioned as a possible pick for attorney general when Eric Schmitt vacated the post to become U.S. senator in 2021.Greim also represented the Office of the Governor in 2018 when former Gov. Eric Greitens was under investigation for possible impeachment.Tennessee Dems Pushing Back on Abortion Bans With New Reproductive Rights BillsThe bill is sponsored by new Tenn. Dem. State rep, Aftyn Behn, who can be heard at length on this week's episode of the Dirt Road Democrat with Jess Piperhttps://fox17.com/news/local/2024-nashville-tennessee-rep-introduces-new-abortion-reproductive-rights-bill-politics-general-assembly-government-davidson-county-middle-tnFrom ArticleA new abortion bill aims to amend Tennessee's current law which bans the procedure in early stages of pregnancy.House Bill 1626 enacts the "Fundamental Right to Reproductive Health Care Act," meaning the state cannot interfere with abortion services because it falls under an individual's "fundamental right."The bill states every person has a right to make decisions about their reproductive health care, including "the fundamental right to use or refuse contraceptive procedures or contraceptive supplies as defined in 68-34-102." It adds a pregnant person has a right to continue a pregnancy or to terminate it. Michigan GOP Collapsing? https://theheartlandcollective.com/2024/01/09/michigan-gop-is-collapsing-in-on-itself/From article:Jason Roe, a former executive director of the Michigan Republican party, said an effective new leader could help the party “right the ship” before the November 2024 elections, but that a drawn-out fight in court could hinder that progress.To date, the chaos engulfing the party has prevented it from fulfilling its traditional role of organizing and fundraising for Republican candidates, former party officials have said.“I think the chaos is far from over,” Roe said. “If this turns out to be a binding vote, I don't think she [Karamo] or her supporters will go quietly and there will probably continue to be skirmishes throughout the election cycle.” Boebert Says Bye Bye - Tucks Tail And Seeks Easier Path Back To DCIn a move stunning no one, CO GOP Rep. Lauren Boebert, best known for her lewd and lascivious behavior, plus that time she cranked her dates honker in public, is running from the fight in her seemingly doomed reelection bid in the Colorado 3rd against Adam FrischArticle on THChttps://theheartlandcollective.com/2023/12/29/lauren-boebert-says-bye-bye-to-her-current-swing-district-and-hello-to-colorados-4th/Frisch was close to winning in 2022 and most assumed he would take the 2024 race against the highly damaged BoebertThe seat in the 3rd was home to Ken Buck who's own failed speaker bid was his last hurrah as he calls it quits. Missouri water way gets needed recognition, but for horrible reasonshttps://missouriindependent.com/2024/01/08/coldwater-creek-to-finally-have-warning-signs-after-decades-of-nuclear-contamination/Nuclear waste stored outside St. Louis was found to pose a risk to nearby Coldwater Creek as early as 1949. The contaminated creek will finally have warning signs almost 75 years later.From articleThe U.S. Army Corps of Engineers said in a statement Monday that it was working with the Environmental Protection Agency to add signs along the creek to help it monitor areas “that may pose a risk if disturbed.”Coldwater Creek has been contaminated for decades with radioactive waste left over from the World War II-era effort to build an atomic bomb. But though the creek winds through some of St. Louis' busiest suburbs and past public parks and schools, the federal government had resisted calls to post signs warning visitors of the contamination.“This is decades of potential exposure that could have been prevented that they drug their feet on,” said Dawn Chapman, co-founder of Just Moms STL, an organization formed to advocate for communities affected by St. Louis-area radioactive waste.Despite the delays, Chapman said she's thankful that the signs are finally going to be installed. The St. Louis area has long struggled with a radioactive waste problem. Uranium for the Manhattan Project, the name given to the effort to develop the first atomic bomb, was refined in downtown St. Louis.After World War II, radioactive waste left over from those efforts was trucked to the St. Louis airport and dumped — some on the open ground and some in barrels — next to Coldwater Creek. As early as 1949, Mallinckrodt Chemical Works, the company that refined uranium for the federal government, was aware the waste could escape the barrels it was stored in and contaminate the nearby creekThe Agency for Toxic Substances and Disease Registry concluded in 2019 that children and adults who played in or near Coldwater Creek or lived in its floodplain between the 1960s and 1990s may have been exposed to radioactive materials that raise the risk of certain cancers. The agency — part of the Centers for Disease Control and Prevention — recommended signs be placed along the creek to warn residents of the potential exposure risk.The Army Corps said there was nothing specific that caused the agency to change its mind on installing the signs. The decision was “driven by our commitment to continuous improvement,” George Stringham, a spokesman for the Army Corps, said in an email. Stringham said the Army Corps would “continue to prioritize the health and safety of the community.”Iowa - Gov. proposed budget is a major cut for higher edhttps://iowacapitaldispatch.com/2024/01/10/gov-kim-reynolds-budget-for-state-universities-falls-30m-short-of-regents-request/From article: Iowa Gov. Kim Reynolds has proposed allocating about $30 million less than what the Iowa Board of Regents requested for itself and the universities next year, though each of the universities would receive some increase in state funding.Reynolds' budget proposal, released Monday, included recommendations for administering money from the state's general fund and other sources to the regents, the University of Iowa, University of Northern Iowa and Iowa State University. The regents requested just over $609 million from the state's general fund and about $40 million from other state sources. Reynolds recommended allocating almost $619 million.Colorado - Congresswoman Diana DeGette introduces discharge petition to ban high-capacity magazines:https://coloradonewsline.com/briefs/degette-house-vote-high-capacity-magazine-ban/From article:U.S. Rep. Diana DeGette used a mechanism in the House of Representatives that would force a vote on a bill without leadership's approval to bring forward a vote on a gun safety bill. DeGette, who represents Denver in Congress, alongside House Gun Violence Prevention Task Force Chair Mike Thompson, a California Democrat, filed a discharge petition to force a vote on the Keep Americans Safe Act. The bill would ban large capacity magazines - those that can hold 30-100 rounds - with a few exceptions and will likely struggle to get through the Republican-controlled House.DeGette said high-capacity magazines were used in all of the 10 deadliest mass shootings in the country. She said the only purpose of these magazines is to kill a lot of people in a short amount of time. “These events continue to re-traumatize our community and our nation, because no community has been untouched by this deadly epidemic,” DeGette said. “In mass shootings with four or more people killed between 2015 and 2022, high-capacity magazines led to more than twice as many people being killed and nearly 10 times as many people being wounded per incident on average.”The petition requires 218 signatures to force a vote on the floor, and with 213 Democrats in the House, at least five Republicans would need to sign. DeGette said she thinks some Republicans in the House represent districts impacted by mass shootings and may be under pressure from their constituents to ban high-capacity magazines. U.S. Rep. Jason Crow, a Centennial Democrat, joined DeGette and members of the Gun Violence Prevention Task Force at a press conference outside the U.S. Capitol after DeGette filed the petition and applauded Colorado leadership for its gun safety measures, particularly banning high-capacity magazines. “In Colorado, we are fortunate to have a state legislature focused on gun reform when Congress fails to make significant change due to Republican stonewalling over and over again,” Crow said. Crow highlighted several high-profile mass shootings in Colorado where the perpetrator used high capacity magazines: the 1999 Columbine High School shooting in Littleton, the 2012 Aurora movie theater shooting, the 2021 Boulder King Soopers shooting, and the 2022 Club Q shooting in Colorado Springs. Closing Note: Doing anything this weekend?  @TheHeartlandPOD on Twitter and ThreadsCo-HostsAdam Sommer @Adam_Sommer85 (Twitter) @adam_sommer85 (Post)Rachel Parker @msraitchetp (Post) Sean Diller (no social)The Heartland Collective - Sign Up Today!JOIN PATREON FOR MORE - AND JOIN OUR SOCIAL NETWORK!“Change The Conversation”Outro Song: “The World Is On Fire” by American Aquarium http://www.americanaquarium.com/

Friday Flyover of politics and elections news from America's heartland | TX GOP Rep Chip Roy says he'd boot MAGA Mike over funding bill | Missouri Sec of State on track to waste more money and lose more court cases | Lauren Boebert switches districts, CO GOP Rep Doug Lamborn announces retirementSOURCES: The Heartland Collective, Axios, St. Louis Post-Dispatch, Missouri Independent, Fox17 WZTV Nashville, Iowa Capitol DispatchIs Speaker Mike Johnson Already on the way out? https://www.axios.com/2024/01/11/mike-johnson-house-speaker-motion-vacateFrom ArticleDriving the news: A dozen right-wing House Republicans blocked a package of their party's bills and ground the House floor to a sudden halt on Wednesday in protest of Johnson's spending deal with Senate Democrats.It's a repeat of of what hardliners did under former Speaker McCarthy over his bipartisan debt ceiling deal – which ultimately foreshadowed his removal months later through a motion to vacate.The move came as Rep. Chip Roy (R-Texas) has been flirting with the idea of trying to remove Johnson, saying in a radio interview on Tuesday: "If they totally botch [the appropriations bills] ... I don't know why we would keep him as speaker."One Republican leadership ally described the revolt as a "shot across the bow."Missouri AG and recent melted blob of flesh on CNN, Jay Ashcroft, gets smacked down in courthttps://www.stltoday.com/news/local/government-politics/judge-rejects-jay-ashcroft-s-bid-to-dismiss-high-profile-lawsuit-against-his-office/article_01f1fdc6-af1c-11ee-8076-27fdb2bf7fa8.html?utm_medium=social&utm_source=twitter&utm_campaign=user-shareComplaint https://business.cch.com/srd/20231023_SIFMA-v-Ashcroft_amended-complaint.pdfFrom the articleA federal judge rejected an effort by Secretary of State Jay Ashcroft to dismiss a lawsuit against his office over new, politically charged rules aimed at limiting the impact of environmental, social and governance factors in investment decisions.In a ruling Friday, U.S. District Judge Steven Bough ruled unanimously in favor of a trade group that is suing the Republican gubernatorial candidate and his office on the grounds that the rule imposed by Ashcroft fails to acknowledge that federal law already requires financial advisers to act in the best interest of their clients when providing personalized investment advice.“The court finds that Plaintiff adequately alleges that the rules violate the First Amendment,” Bough wrote. “The court finds that Plaintiff adequately alleges that the rules are unconstitutionally vague.”And Bough said the trade organization can continue its pursuit of the case because it has the legal standing to represent financial advisers who object to Ashcroft's rule.Ashcroft issued the rules — the first in the nation — after a similar “anti-woke” investing proposal died in the Legislature last year.Ashcroft, who is facing Lt. Gov. Mike Kehoe and Sen. Bill Eigel in the August 2024 GOP primary, has used the lawsuit to raise money for his gubernatorial campaign, where culture war issues have played a prominent role.And, he is using taxpayer funds to pay a campaign donor to represent his office in the lawsuit.Instead of using the Missouri attorney general's office to fight the challenge to the rules, Ashcroft hired the politically connected Kansas City law firm of Graves Garrett to represent his office.Law firm partner Todd Graves, a former head of the Missouri Republican Party, was named to the University of Missouri board of trustees in 2021 and Greim was mentioned as a possible pick for attorney general when Eric Schmitt vacated the post to become U.S. senator in 2021.Greim also represented the Office of the Governor in 2018 when former Gov. Eric Greitens was under investigation for possible impeachment.Tennessee Dems Pushing Back on Abortion Bans With New Reproductive Rights BillsThe bill is sponsored by new Tenn. Dem. State rep, Aftyn Behn, who can be heard at length on this week's episode of the Dirt Road Democrat with Jess Piperhttps://fox17.com/news/local/2024-nashville-tennessee-rep-introduces-new-abortion-reproductive-rights-bill-politics-general-assembly-government-davidson-county-middle-tnFrom ArticleA new abortion bill aims to amend Tennessee's current law which bans the procedure in early stages of pregnancy.House Bill 1626 enacts the "Fundamental Right to Reproductive Health Care Act," meaning the state cannot interfere with abortion services because it falls under an individual's "fundamental right."The bill states every person has a right to make decisions about their reproductive health care, including "the fundamental right to use or refuse contraceptive procedures or contraceptive supplies as defined in 68-34-102." It adds a pregnant person has a right to continue a pregnancy or to terminate it. Michigan GOP Collapsing? https://theheartlandcollective.com/2024/01/09/michigan-gop-is-collapsing-in-on-itself/From article:Jason Roe, a former executive director of the Michigan Republican party, said an effective new leader could help the party “right the ship” before the November 2024 elections, but that a drawn-out fight in court could hinder that progress.To date, the chaos engulfing the party has prevented it from fulfilling its traditional role of organizing and fundraising for Republican candidates, former party officials have said.“I think the chaos is far from over,” Roe said. “If this turns out to be a binding vote, I don't think she [Karamo] or her supporters will go quietly and there will probably continue to be skirmishes throughout the election cycle.” Boebert Says Bye Bye - Tucks Tail And Seeks Easier Path Back To DCIn a move stunning no one, CO GOP Rep. Lauren Boebert, best known for her lewd and lascivious behavior, plus that time she cranked her dates honker in public, is running from the fight in her seemingly doomed reelection bid in the Colorado 3rd against Adam FrischArticle on THChttps://theheartlandcollective.com/2023/12/29/lauren-boebert-says-bye-bye-to-her-current-swing-district-and-hello-to-colorados-4th/Frisch was close to winning in 2022 and most assumed he would take the 2024 race against the highly damaged BoebertThe seat in the 3rd was home to Ken Buck who's own failed speaker bid was his last hurrah as he calls it quits. Missouri water way gets needed recognition, but for horrible reasonshttps://missouriindependent.com/2024/01/08/coldwater-creek-to-finally-have-warning-signs-after-decades-of-nuclear-contamination/Nuclear waste stored outside St. Louis was found to pose a risk to nearby Coldwater Creek as early as 1949. The contaminated creek will finally have warning signs almost 75 years later.From articleThe U.S. Army Corps of Engineers said in a statement Monday that it was working with the Environmental Protection Agency to add signs along the creek to help it monitor areas “that may pose a risk if disturbed.”Coldwater Creek has been contaminated for decades with radioactive waste left over from the World War II-era effort to build an atomic bomb. But though the creek winds through some of St. Louis' busiest suburbs and past public parks and schools, the federal government had resisted calls to post signs warning visitors of the contamination.“This is decades of potential exposure that could have been prevented that they drug their feet on,” said Dawn Chapman, co-founder of Just Moms STL, an organization formed to advocate for communities affected by St. Louis-area radioactive waste.Despite the delays, Chapman said she's thankful that the signs are finally going to be installed. The St. Louis area has long struggled with a radioactive waste problem. Uranium for the Manhattan Project, the name given to the effort to develop the first atomic bomb, was refined in downtown St. Louis.After World War II, radioactive waste left over from those efforts was trucked to the St. Louis airport and dumped — some on the open ground and some in barrels — next to Coldwater Creek. As early as 1949, Mallinckrodt Chemical Works, the company that refined uranium for the federal government, was aware the waste could escape the barrels it was stored in and contaminate the nearby creekThe Agency for Toxic Substances and Disease Registry concluded in 2019 that children and adults who played in or near Coldwater Creek or lived in its floodplain between the 1960s and 1990s may have been exposed to radioactive materials that raise the risk of certain cancers. The agency — part of the Centers for Disease Control and Prevention — recommended signs be placed along the creek to warn residents of the potential exposure risk.The Army Corps said there was nothing specific that caused the agency to change its mind on installing the signs. The decision was “driven by our commitment to continuous improvement,” George Stringham, a spokesman for the Army Corps, said in an email. Stringham said the Army Corps would “continue to prioritize the health and safety of the community.”Iowa - Gov. proposed budget is a major cut for higher edhttps://iowacapitaldispatch.com/2024/01/10/gov-kim-reynolds-budget-for-state-universities-falls-30m-short-of-regents-request/From article: Iowa Gov. Kim Reynolds has proposed allocating about $30 million less than what the Iowa Board of Regents requested for itself and the universities next year, though each of the universities would receive some increase in state funding.Reynolds' budget proposal, released Monday, included recommendations for administering money from the state's general fund and other sources to the regents, the University of Iowa, University of Northern Iowa and Iowa State University. The regents requested just over $609 million from the state's general fund and about $40 million from other state sources. Reynolds recommended allocating almost $619 million.Colorado - Congresswoman Diana DeGette introduces discharge petition to ban high-capacity magazines:https://coloradonewsline.com/briefs/degette-house-vote-high-capacity-magazine-ban/From article:U.S. Rep. Diana DeGette used a mechanism in the House of Representatives that would force a vote on a bill without leadership's approval to bring forward a vote on a gun safety bill. DeGette, who represents Denver in Congress, alongside House Gun Violence Prevention Task Force Chair Mike Thompson, a California Democrat, filed a discharge petition to force a vote on the Keep Americans Safe Act. The bill would ban large capacity magazines - those that can hold 30-100 rounds - with a few exceptions and will likely struggle to get through the Republican-controlled House.DeGette said high-capacity magazines were used in all of the 10 deadliest mass shootings in the country. She said the only purpose of these magazines is to kill a lot of people in a short amount of time. “These events continue to re-traumatize our community and our nation, because no community has been untouched by this deadly epidemic,” DeGette said. “In mass shootings with four or more people killed between 2015 and 2022, high-capacity magazines led to more than twice as many people being killed and nearly 10 times as many people being wounded per incident on average.”The petition requires 218 signatures to force a vote on the floor, and with 213 Democrats in the House, at least five Republicans would need to sign. DeGette said she thinks some Republicans in the House represent districts impacted by mass shootings and may be under pressure from their constituents to ban high-capacity magazines. U.S. Rep. Jason Crow, a Centennial Democrat, joined DeGette and members of the Gun Violence Prevention Task Force at a press conference outside the U.S. Capitol after DeGette filed the petition and applauded Colorado leadership for its gun safety measures, particularly banning high-capacity magazines. “In Colorado, we are fortunate to have a state legislature focused on gun reform when Congress fails to make significant change due to Republican stonewalling over and over again,” Crow said. Crow highlighted several high-profile mass shootings in Colorado where the perpetrator used high capacity magazines: the 1999 Columbine High School shooting in Littleton, the 2012 Aurora movie theater shooting, the 2021 Boulder King Soopers shooting, and the 2022 Club Q shooting in Colorado Springs. Closing Note: Doing anything this weekend?  @TheHeartlandPOD on Twitter and ThreadsCo-HostsAdam Sommer @Adam_Sommer85 (Twitter) @adam_sommer85 (Post)Rachel Parker @msraitchetp (Post) Sean Diller (no social)The Heartland Collective - Sign Up Today!JOIN PATREON FOR MORE - AND JOIN OUR SOCIAL NETWORK!“Change The Conversation”Outro Song: “The World Is On Fire” by American Aquarium http://www.americanaquarium.com/

In this episode of Digital Transformation & Leadership Danny Levy talks to Zennon Kapron the Director of Kapronasia, one of Asia's leading financial technology research and consulting firms. Prior to Kapronasia, Zennon was the Asia Pacific Financial Industry Manager and Global Banking Industry Manager for Intel. At Intel, he helped position and sell Intel-based architecture to financial services firms globally. Before Intel, Zennon worked at Citi at a number of different technology management roles culminating in his role as CIO for Citigroup Portugal. Zennon is a recognised thought leader on fintech in Asia and a regular speaker at financial conferences and shows globally including: Money 20/20, TradeTech, Sibos, SIFMA, Innovate Finance, Future of Fintech in Asia, APFIC and many others. He has testified in front of the U.S. Congress on matters of China Fintech and is regularly quoted in the press and television appearances including CNBC, Bloomberg, The Economist, Wall Street Journal, New York Times, Financial Times to name a few. Zennon is the author of 'Chomping at the Bitcoin: The Past, Present and Future of Bitcoin in China' published by Penguin as well as countless reports and commentaries on the state of financial technology in Asia. He is also a Top Voice on LinkedIn in Asian finance talking about fintech, payments, digital banking, DeFi, CBDCs. In the episode Zennon shares insights on: The surge in digital payments in Asia and how this is playing out across the entire region. How for more than a decade, the Asian tech ecosystem has been dominated by “super-apps:” platforms such as WeChat, Alipay, and Meituan that offer an enormous network of services all in one integrated app. Something Elon Musk has recently labeled an ‘everything app'. Zennon shares what constitutes a super app. And if are all platforms that are regarded as a super-apps are worthy of the title. If BNPL in Asia will replace traditional credit cards. Government led domestic card networks replacing Mastercard and Visa. A commonly held belief around digital banks in Asia that Zennon passionately disagrees with. Zennon's counter-intuitive, half-crazy prediction about the next five years for the Asian payments industry. To get in touch with Zennon get in touch via LinkedIn here - https://www.linkedin.com/in/zennon/ To check out Kapron Asia go to - https://www.kapronasia.com/ --- Send in a voice message: https://podcasters.spotify.com/pod/show/danny-levy/message

401k matching is an investing option that is often overlooked, but it can be a powerful tool in building long-term wealth. In today's episode, I chat with you about how maxing out my 401k over six years propelled me to more financial success and security.  While maxing out my 401k wasn't absolutely necessary to meet our family financial goals, it has allowed me to relax more, work less and rest easy knowing that one important box has been checked. Be the Change Segment: Melanie Mortimer, President of the SIFMA (Securities Industry And Financial Markets Association) Foundation, joins the Marriage Kids and Money podcast to discuss how bringing financial education to youth of all backgrounds, and helping them lead better financial lives lifts us all up as a community.  After 45 years and 22 million youth lives touched by financial literacy, SIFMA and their Stock Market Game is making waves in youth financial literacy. RESOURCES: Sponsors + Partners + Deals Empower Fee Analyzer (affiliate link) https://www.stockmarketgame.org/ https://www.sifma.org/ GUEST BIO:  Melanie Mortimer is President of the SIFMA Foundation, the nation's leader in youth investor and financial education which ensures all young people, regardless of background, have access to transformative knowledge and tools to prepare for their financial futures. GUEST SOCIAL MEDIA:  LinkedIn OTHER EPISODES YOU MIGHT LIKE: HSA vs 401k: How to Prioritize Your Retirement Investments How to Become a Millionaire in 10 Years How to Invest On Your Own Without a Financial Advisor MKM RESOURCES: Make My Kid a Millionaire Course: Want to make your kid a millionaire? Learn more about my course! MKM Coaching: Want 1-on-1 support with your family finance journey? Book a time with me today. YouTube: Subscribe for free to watch videos of these episodes and interviews. Instagram: Follow our IG channel. Voicemail: Leave your question or comments here. Merch Store: Check out our t-shirts, hoodies, and coffee mugs! SHOW INFORMATION:  Marriage Kids and Money is dedicated to helping young families build wealth and happiness. This award-winning platform helps couples and parents achieve financial independence and discover the true meaning of wealth.  To achieve these big goals, we answer questions and interview experts who uncover smart net worth building habits and tools that can help everyone find their own version of financial independence. Learn more at https://www.marriagekidsandmoney.com  HOST BIO:  Andy Hill is the award-winning family finance coach behind Marriage Kids and Money - a platform dedicated to helping young families build wealth and happiness.  Andy's advice and personal finance experience have been featured in major media outlets like CNBC, Forbes, MarketWatch, Kiplinger's Personal Finance and NBC News. With millions of downloads and views, Andy's message of family financial empowerment has resonated with listeners, readers and viewers across the world.    When he's not "talking money", Andy enjoys being a soccer Dad, singing karaoke with his wife and watching Marvel movies. DISCLAIMER: This show may contain affiliate links or links from our advertisers where we earn a commission, direct payment or products. Opinions are the creators alone. Information shared on this podcast is for entertainment purposes only and should not be considered as professional advice. Marriage Kids and Money (www.marriagekidsandmoney.com) is a participant in the Amazon Services LLC Associates Program, an affiliate advertising program designed to provide a means for sites to earn advertising fees by advertising and linking to amazon.com. CREDITS: Podcast Artwork: Liz Theresa Editor: Podcast Doctors Podcast Support: Weir Digital Marketing Learn more about your ad choices. Visit megaphone.fm/adchoices

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.

SIFMA hosted their Diversity, Equity & inclusion Leadership Summit on September 20th, 2022 at the Morgan Stanley Headquarters in New York City. This summit brought together business executives from all facets of capital markets to broadly understand how diversity, equity & inclusion shapes today's workforce and plays a role in how we serve our clients. Cheryl Crispen, Executive Vice President of Communications and Marketing at SIFMA recaps themes from SIFMA's DE&I Leadership Summit with Arianne M. Collette, Executive Director, COO and Head of Business Development for the Reinvestment and Participant Engagement business at Morgan Stanley Wealth Management.

Zennon Kapron is the Director of Kapronasia, one of Asia's leading financial technology research and consulting firms. Zennon is a recognised thought leader on fintech in Asia and a regular speaker at financial conferences globally including: Money 20/20, TradeTech, Sibos, SIFMA, Innovate Finance, Future of Fintech in Asia, APFIC and many others. He has testified in front of the U.S. Congress on matters of China Fintech and is regularly quoted in the press and television appearances including CNBC, Bloomberg, The Economist, Wall Street Journal, New York Times, Financial Times to name a few.

In this episode, John Spence talks about upscaling your business by organizing your company culture through strategic thinking. He is the managing partner at John Spence LLC, strategic partner at Advisory Works, senior instructor at the National Association of Federally-Insured Credit Unions (NAFCU), an instructor at Entrepreneurs' Organization and SIFMA, business advisor, executive coach, trainer, speaker, and author. John conducts coaching and strategic business planning for senior executives. He helps them to develop their strategic thinking skills and to organize their company cultures. John is passionate about helping his clients to create powerful and effective strategies and to execute them efficiently in order to upscale their businesses. To learn more about John Spence, go to http://aha.pub/JohnSpence. To get in touch with him, visit https://johnspence.com/. Mitchell Levy is the Global Credibility Expert at AHAthat, the first AHA leadership (Thought Leadership) platform on the market for thought leaders, experts and companies to unleash their genius to the world. His passion is helping entrepreneurs, business owners and C-Suite Executives get known as thought leaders & become best-selling authors with the AHA platform. He is an accomplished entrepreneur who has created 20 businesses in Silicon Valley including four publishing companies that have published over 800 books. Mitchell is an international best-selling author with 60 business books, has provided strategic consulting to over 100 companies, has advised over 500 CEOs on critical business issues, and has been chairman of the board of a NASDAQ-listed company.Visit https://www.credibilitynation.com to learn more about the Credibility Nation community.Visit https://www.ahathat.com/author to learn how you can become an Amazon best-selling author in 4 months.

The SEC is not only putting out twice the amount of rules and updates as the previous two White House Administrations, they've shortened the time allowed to review them.  Ken Bentsen, President and CEO of SIFMA, says rushing through multiple proposals simultaneously, without understanding their effect on each other, increases the possibility of bad outcomes. Bentsen wants the SEC to focus more on security to prevent data breaches which can harm individuals and slow down their 'fast and furious' rule making. You can follow this show on Instagram and on Facebook. And to see what Heather does when she's not talking money, go to her personal Twitter page. Be sure to email Heather your questions and request topics you'd like her to cover here.See omnystudio.com/listener for privacy information.

@markasher32 talks with Jamie Wall from @Sifma talk about how the SEC's aggressive agenda could be harmful to investors. Stump the chump with @DaveandBusters, A great event a Night of Hope, #investing #sec #fun #food #cancer #hope 

@markasher32 talks with Jamie Wall from @Sifma talk about how the SEC's aggressive agenda could be harmful to investors #invest #investing #SEC 

HR3 SIFMA CEO on the SEC | Recession Proof Skills | COVID: What They Said a Year Ago 7/25/22 by John Rush

Washington Perspectives Moderator: Jim Toes, President & CEO, Security Traders Association Panelists: Jameel Aalim-Johnson, Vice President of Government Relations, Nasdaq Gene DeMaio, Executive Vice President, Options Regulation & Trading Execution, FINRA Ellen Greene, Managing Director, Equity and Options Market Structure, SIFMA

Washington Perspectives Moderator: Jim Toes, President & CEO, Security Traders Association Panelists: Jameel Aalim-Johnson, Vice President of Government Relations, Nasdaq Gene DeMaio, Executive Vice President, Options Regulation & Trading Execution, FINRA Ellen Greene, Managing Director, Equity and Options Market Structure, SIFMA

Welcome to Bond Investment Mentor! This is a podcast dedicated to helping community financial institutions master the art of fixed-income investments.In this episode:Jerome Powell on Capitol Hill (1:49)Bond market review (4:22)RESOURCE:  Bond market holiday calendars (7:31)SIFMA market calendar (DOWNLOAD)Chatham Financial market calendar (DOWNLOAD)Navigating Bloomberg yield tables (9:30)What are yield tables? (9:59)Yield table format (11:30)4 Types of yield tables (16:13)YT (PSA format)YTR (CPR format)YTH (historical)YT BAM (Bloomberg model)FREE GUIDE:  "Understanding the Bloomberg Yield Table" (22:12) (DOWNLOAD NOW)If you have questions about anything covered in this episode, please email me at Chris @ BondInvestmentMentor.com.Do you know someone who could benefit from this information? Please share this episode and podcast with them!You will find more articles, tips, and resources about fixed income investing and portfolio management at BondInvestmentMentor.com. Check it out!Let's Connect via Social Media!LinkedIn: Christopher Nelson, CFA

In this episode of The SIFMA Podcast, SIFMA President & CEO Kenneth E. Bentsen, Jr. sits down with Lindsey Piegza, Ph. D, Chief Economist and Managing Director for Stifel Nicolaus & Co. and Chair of the SIFMA Economic Advisory Roundtable, to discuss the outlook for the U.S. economy and results from SIFMA's recent survey of chief economists from 27 global and regional financial institutions. To download the survey, visit https://www.sifma.org/resources/news/the-sifma-podcast-a-conversation-with-lindsey-piegza-on-the-2022-mid-year-economic-forecast/

In this far-ranging discussion at the 2022 Operations Conference & Exhibition, Kenneth E. Bentsen, Jr., SIFMA's president and CEO, sits down with Thomas Pluta, Global Head of the Linear Rates Trading Business at J.P. Morgan and 2022 Chair of SIFMA's Board of Directors, to explore SIFMA's priorities on behalf of our members including: The State of the Markets Treasury Market Structure The Regulatory Agenda Shortened Settlement Cycle The LIBOR Transition COVID: The Ultimate Stress Test And more For related resources and more from the Conference, visit https://www.sifma.org/resources/news/blog-the-state-of-the-markets-their-regulation-and-their-resiliency/

How do you negotiate in a way that builds lasting and productive relationships? We all negotiate. In our personal lives, in our careers, how we negotiate and who wins, can make a lasting impact. In this episode of We Talk Careers, we are talking to Shanna Weber. Shana is the Managing Director of Corporate Strategy at Charles Schwab. She leads a team focused on identifying near term growth opportunities while also supporting long-term strategic planning across the enterprise. Shannon earned her MBA from the University of Arizona and dual BS degrees in finance and management from Arizona State University. She completed her SIFMA designation at Wharton. Kristine Delano and Shanna talk about the art of negotiation. Why is listening a superpower? And how nothing can beat preparation.  They mention Episode 11, where Diana Tidd talks about the importance of how other's receive information. Follow on Instagram kristine.delano.writer to join the conversation. Visit www.womeninetfs.com to find additional support in the ETF industry. Go to www.kristinedelano.com for your Thrive Guide: a compilation of the most requested and insightful advice from our guests on Leadership and Advancement.

Natixis government policy expert Susan Olson hosts SIFMA's Melissa MacGregor for an insider's clarity on a complex, important, and much anticipated topic.

In this episode of The SIFMA Podcast, SIFMA President & CEO Kenneth E. Bentsen, Jr. sits down with Lindsey Keljo who is Managing Director and Head of SIFMA's Asset Management Group and Jamie Gershkow, Partner at Stradley Ronon for a discussion on the SEC's proposed reforms to money market fund rules.

SIFMA CEO Ken Bentsen and Head of Municipals Leslie Norwood discuss developments at the organization, the legislative outlook, and regulatory developments related to ESG.

Jayzen is thrilled to welcome Renée Baker to the show. Renée has had an incredible career journey in the financial industry as an advisor, CMO and now Head of Private Client Group Advisor Inclusion Networks for Raymond James. Renée shares a wealth of experience in how to be an effective leader and versus just being a manager of people and things. Her mantra of “never playing small” is a lesson for anyone's career. Guest Bio Renée Baker Head of Private Client Group Advisor Inclusion Networks Raymond James In her role, Renée provides corporate support and leadership for the Women Financial Advisors Network, Black Financial Advisors Network and Pride Financial Advisors Network. Renée and her team are focused on the recruitment, retention and advancement of diverse financial advisors to help them achieve long-term success. She collaborates with the Raymond James PCG Education & Practice Management team to provide solutions, tools and resources to help advisors grow their businesses. Renée also works closely with internal and external partners including the firm's head of diversity and inclusion in support of the firm's commitment to diversity and inclusion. Previously, Renée served as chief marketing officer for Carillon Tower Advisers, a subsidiary of Raymond James. She was responsible for the global marketing strategy for seven affiliate brands, while leading a team of marketing professionals across several departments. Renée is a seasoned marketing executive with extensive experience across various channels and geographies. Before joining Raymond James, she held senior-level marketing roles at several financial services firms, most recently at Aberdeen Standard Investments. She was also an adjunct instructor at the University of South Florida, where she taught advertising management. Renée is a member of the Raymond James Diversity and Inclusion Advisory Council, having previously served as the firm's national co-leader for the Mosaic Multicultural Inclusion Network; and serves as a mentor for several Raymond James' associates programs and American Corporate Partners, which are focused on helping veterans and active-duty spouses find meaningful employment opportunities and develop long-term careers. Active in the community, she is also a trustee for American Stage Theatre Company, where she serves as the co-chair for the equity, diversity and inclusion committee and is a member of the board of directors for the Susan G. Komen Breast Cancer Foundation. She holds a Bachelor of Science degree in finance from Rutgers University, a Master of Business Administration degree from The Pennsylvania State University and a doctorate in business administration from Wilmington University. Renée also completed executive education at the Securities Industry Institute, hosted by SIFMA and Wharton, and holds several securities licenses. She has been the recipient of several industry awards and was recognized by The Pennsylvania State University, as the 2021 Smeal Alumni Award Recipient for Diversity Leadership and Financial Planning magazine as one of the “20 People Who Will Change Wealth Management in 2020.” Links To learn more about Lead With Your Brand and the Career Breakthrough Mentoring program, please visit: LeadWithyYourBrand.com To book Jayzen for a speaking engagement or workshop at your company, visit: JayzenPatria.com

SIFMA, DTCC and ICI to shorten U.S. securities settlement cycle. ISDA assesses regulatory considerations for sustainability-linked derivatives. FFIEC updates Bank Secrecy Act/AML Examination Manual. NFA reminds CPOs and CTAs to affirm registration exemptions. CFPB to increase oversight over bank overdraft fees. Effective date set for amended universal proxy rule. Comment deadline set for SEC-proposed changes to electronic recordkeeping requirements. SEC staff guidance on "spring-loaded" compensation now effective.  

Banking is changing.  The industry is at a transformation point. Consumers by and large have shown that they are ready to conduct their banking online. And the events of the last year have only accelerated this trend.  In this re-run episode, Richard Hunt joins us to talk about what all the changes mean for the future of banking. Richard formerly worked for SIFMA, a securities industry trade association. Now, he is the President & CEO of Consumer Bankers Association (CBA), a trade association focused on the consumer side of banking.  Some topics that we covered:  - How trade associations, like CBA, support the banking industry  - What the future of banking looks like under the Biden Administration  - What banks are focusing on as they move to a more digital experience  - Upcoming priorities for the CBA  To hear more from Leaders in Lending, check us out on Apple Podcasts, Spotify, or on our website.  Listening on a desktop & can't see the links? Just search for Leaders in Lending on your favorite podcast player.

SEC proposes to require extensive disclosures on securities loans. SEC proposes amendments to electronic recordkeeping requirements. SEC enforcement report touts volume of new actions and increase in penalties. SEC highlights spike in whistleblower tips in fiscal year 2021. SIFMA conducts financial sector cybersecurity exercise. Investment adviser settles charges for mishandling MNPI. FTC to expand criminal referral program. MSRB staff examines change in use of external liquidity over time. Comment deadline set for SEC proposal to expand electronic filing requirements. SEC names new Trading and Markets Director.

In this episode of our Wealth Management Leadership podcast series, SIFMA President & CEO Kenneth E. Bentsen, Jr. sits down with Ken Cella, Principal of the Client Strategies Group at Edward Jones for a conversation on how the pandemic has shaped the way advisors and clients approach the “New Retirement.” We discuss its four pillars of health, family, purpose and finances. We'll also explore how the pandemic led investors to focus more on life's priorities, its impact on retirement savings trends, and how it prompted first-time legacy planning conversations for 44.5 million Americans. For a transcript and more, please visit https://www.sifma.org/resources/news/podcast-wealth-management-leadership-series-ken-cella/

In this episode of our Wealth Management Leadership podcast series, SIFMA President & CEO Kenneth E. Bentsen, Jr. sits down with Joseph E. Sweeney, President, Advice & Wealth Management, Products and Service Delivery for Ameriprise, Inc., for an introspective discussion on how the advisor-client relationship has evolved in recent decades. We look at the pivotal role that technology has played in changing the way firms, advisors, clients, and employees work, while emphasizing the value of a financial advisor to help investors reach long-term retirement goals and prepare for life's unexpected challenges. For a transcript and more, visit https://www.sifma.org/resources/news/podcast-wealth-management-leadership-series-joseph-sweeney.

In this episode of The SIFMA Podcast, SIFMA President & CEO Kenneth E. Bentsen, Jr. sits down with Tom Price, Managing Director, Operations Technology & BCP, and Tom Wagner, Managing Director, Financial Services Operations, for a discussion on the financial services industry's cybersecurity efforts. Cyberattacks didn't stop during the pandemic. Rather, they increased. From WannaCry to SolarWinds, attacks have gotten bolder and their threat has grown higher. Here, we discuss how industry-wide efforts over the last decade have also evolved and grown to build effective cyber defenses.

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

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

SIFMA says no need for new DEP regulations. MFA responds to FINRA's proposed expansion of short interest reporting requirements. SEC seeks comment on security enhancements for EDGAR filers.

Ira Hammerman, general counsel of the trade association SIFMA, joins our episode to discuss how regulation is shaping massive changes in the brokerage industry. He addresses controversial topics like payment for order flow, gamification of trading, and the role of investor choice and advice giving under new Regulation Best Interest.

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

SEC Commissioners consider implications of different paths for going public. Two entities settle SEC charges for sales of unregistered oil and gas securities. FINRA proposes fee for new municipal advisor principal exam. Swap dealers settle CFTC charges for LEI-related reporting violations. Office of Advocate for Small Business reports on capital-raising policy recommendations. SIFMA urges BCBS to develop "clear" cryptoasset framework.

In this first episode of our Wealth Management Leadership podcast series, SIFMA President & CEO Kenneth E. Bentsen, Jr. sits down with Northwestern Mutual Wealth Management Company President & CEO Evamarie Schoenborn for a discussion about how the firm's use of advisory teams has enhanced the advisor-client relationship. For a transcript and more, please visit https://www.sifma.org/resources/news/podcast-wealth-management-leadership-series-evamarie-schoenborn/.

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

The Fundamental Review of the Trading Book (FRTB) was initiated by the Basel Committee on Banking Supervision in the years following the 2007-2009 financial crisis with the aim of completely revising the approach of calculating risk-based capital requirements for trading activities. In this podcast, SIFMA's Peter Ryan, Head of International Capital Markets and Prudential Policy, sits down with Joseph Seidel, Chief Operating Officer, to provide a high-level introduction to the FRTB, describing what it was designed to do and why we are hearing more about it now, and explain what is contained in the package of reforms. To view the transcript and more, visit https://www.sifma.org/resources/news/podcast-a-guide-to-frtb-and-why-its-important/.

SEC Chair Gary Gensler testifies on regulatory Priorities. SIFMA and SIFMA AMG urge 18-month implementation for TBA margin proposal. Three media companies settle SEC charges for unregistered stock and digital assets offerings. New York Supreme Court shuts down digital asset trading company. Broker-dealer settles NYSE and NYSE Arca charges for failing to maintain continuous quotations. FINRA proposes extension of remote inspection relief. ISDA provides reporting guidance on 2021 interest rate definitions. Comment deadline set for FINRA proposal to further delay TBA margin requirements. Cadwalader Clients & Friends Memo: One-Two Punch: FTC Does About-Face on Treatment of Debt for HSR Purposes and Casts Doubt on Informal Interpretation Program.

International trade and investment in financial services is crucial to U.S. economic growth and job creation. In this podcast, SIFMA's Peter Matheson sits down with Citi's Kimberley Claman and EY's Douglas Bell to discuss why, in an increasingly competitive global economy, it is vital that financial services are integrated into the U.S. international economic strategy. For the white paper, transcript and more, please visit: https://www.sifma.org/resources/news/podcast-why-financial-services-vital-to-us-international-economic-strategy

Bill Nelson is a chief economist and an executive vice president at the Bank Policy Institute. Bill previously was a deputy director of the Division of Monetary Affairs at the Federal Reserve Board where his responsibilities included monetary policy analysis, discount window policy analysis, and financial institution supervision. Bill also worked closely with the BIS working groups and the design of liquidity regulations. Bill rejoins David on Macro Musings to discuss his article titled, “I Don't Know Why She Swallowed a Fly,” which looks back at the significant growth of the Federal Reserve, both in its reach and in its size, since the Great Recession of 2007-09. Additionally, Bill and David discuss steps the Fed could take to return to a reasonably sized institution, conducting policy with a light imprint on financial markets.   Transcript for the episode can be found here: https://www.mercatus.org/bridge/tags/macro-musings   Bill's SIFMA profile: https://www.sifma.org/people/bill-nelson/ Bill's BPI archive: https://bpi.com/tag/bill-nelson/ Bill's American Banker archive: https://www.americanbanker.com/author/william-nelson-ab3618   Related Links:   *I Don't Know Why She Swallowed a Fly* by Bill Nelson https://morningconsult.com/opinions/i-dont-know-why-she-swallowed-a-fly/   *Why Do We Need Both Liquidity Regulations and a Lender of Last Resort? A Perspective from Federal Reserve Lending during the 2007-09 U.S. Financial Crisis* by Bill Nelson, Mark Carlson, and Burcu Duygan-Bump https://www.federalreserve.gov/econresdata/feds/2015/files/2015011pap.pdf   David's blog: macromarketmusings.blogspot.com David's Twitter: @DavidBeckworth

Moderated by Rudy Rodriguez, Vice President of Diversity and Inclusion at Ameriprise and Chair of SIFMA's Diversity & Inclusion Council, this far-reaching discussion with Penny Pennington of Edward Jones and Suzanne Shank of Siebert, Williams, Shank & Co. explores how these leaders model a culture of inclusion from the c-suite. For transcript and more, please visit: https://www.sifma.org/resources/news/podcast-modeling-a-culture-of-inclusion

In this edition of SIFMA's Diversity, Equity & Inclusion (DEI) podcast series, SIFMA's Amena Ross, Managing Director of Advocacy, sat down with Samuel A. Ramirez, Jr., President and CEO of Ramirez Asset Management and Senior Managing Director of Samuel A. Ramirez and Company, Inc. to understand how Rameriz & Co. is breaking down barriers.

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

Tune in to this episode of the Security Token Show where Kyle Sonlin and Herwig Konings discuss the latest Security Token News and Insights with this week's focus on security token offering compliance 101! Kyle's Company of the Week: iSTOX - http://www.istox.com  Herwig's Company of the Week: https://www.sygnum.com/  = Stay in touch via our Social Media = Kyle: https://twitter.com/kylesonlin  Herwig: https://www.linkedin.com/in/herwigkonings  Opinion articles, interviews, and more: https://medium.com/security-token-group  All articles that were discussed were sourced from https://STOmarket.com/news  Check out our medium blog for more news! = Industry News =  SGX-backed iSTOX to set up digital securities exchange in Chongqing: https://www.businesstimes.com.sg/garage/sgx-backed-istox-to-set-up-digital-securities-exchange-in-chongqing  Stock Market – Swiss Digital Asset Bank Sygnum Launches Blockchain Various to Stock Exchanges: https://fintechzoom.com/fintech_news_stock-market-news/stock-market-swiss-digital-asset-bank-sygnum-launches-blockchain-alternative-to-stock-exchanges/  How Abu Dhabi is laying the groundwork for a digital financial sector: https://www.arabianbusiness.com/comment/454768-how-abu-dhabi-is-laying-the-groundwork-for-digital-financial-sector  SEC leader touts record on digital assets on his way out the door: https://cointelegraph.com/news/sec-leader-touts-record-on-digital-assets-on-his-way-out-the-door  SEC Determines Digital Asset, VCOIN, Not a Security: https://www.natlawreview.com/article/sec-determines-digital-asset-vcoin-not-security  SEC gives OK to social media platform to issue stablecoin without registering as a security: https://cointelegraph.com/news/sec-gives-ok-to-social-media-platform-to-issue-stablecoin-without-registering-as-a-security  US intelligence is looking at Chinese CBDC as a national security threat: https://cointelegraph-com.cdn.ampproject.org/c/s/cointelegraph.com/news/us-intelligence-is-looking-at-chinese-cbdc-as-a-national-security-threat/amp  Japan's megabanks to lead experiment with digital yen: https://cointelegraph.com/news/japan-s-megabanks-to-lead-experiment-with-digital-yen World's 8th Largest Bank and Others Pick Ethereum And Tezos For New Digital Currency Project: https://coinfomania-com.cdn.ampproject.org/c/s/coinfomania.com/bnp-paribas-ethereum-and-tezos-digital-currency/amp/  Circle Partners with Bolivarian Republic of Venezuela and Airtm to Deliver Aid to Venezuelans Using USDC: https://www.circle.com/blog/circle-partners-with-bolivarian-republic-of-venezuela-and-airtm-to-deliver-aid-to-venezuelans-using-usdc?hs_amp=true  HKEX Connects Hong Kong and Mainland China Markets with DAML: https://blog.digitalasset.com/blog/hkex-revolutionizes-post-trade-processing-with-daml  Skyhook selects Propine as tokenization and custody partner: https://ibsintelligence.com/ibsi-news/skyhook-selects-propine-as-tokenization-and-custody-partner/ CurrencyWorks Selected by Forensic Art Certification Technology Inc. to build its Art Authenticity Blockchain: https://www.globenewswire.com/news-release/2020/11/17/2128444/0/en/CurrencyWorks-Selected-by-Forensic-Art-Certification-Technology-Inc-to-build-its-Art-Authenticity-Blockchain.html  RedBlock collaborates with Huobi Group's enterprise division, Huochain, to accelerate blockchain adoption in China: https://redblock.medium.com/redblock-collaborates-with-huobi-groups-enterprise-division-huochain-to-accelerate-blockchain-cebab61a56c2 Gold Gate Launches Luxury Real Estate Investment Platform: https://www.globenewswire.com/news-release/2020/11/12/2125959/0/en/Gold-Gate-Launches-Luxury-Real-Estate-Investment-Platform.html Tokenized Securities are Here. And They Have Been for a While: https://techbullion.com/tokenized-securities-on-blockchain-are-here-and-theyve-been-around-for-a-while/ Tokenization Of CRE In The U.S. Has Been Slow. The Pandemic Could Speed It Up: https://www.bisnow.com/national/news/technology/tokenization-of-cre-in-the-us-has-been-slow-will-the-pandemic-speed-it-up-106800 “Crowdfunded Securities Token Offerings: A Possible Path to Funding Emerging Growth Companies,” Financier Worldwide: https://beckerlawyers.com/crowdfunded-securities-token-offerings-a-possible-path-to-funding-emerging-growth-companies-financier-worldwide/?utm_source=Mondaq&utm_medium=syndication&utm_campaign=LinkedIn-integration Can Cryptocurrencies And Security Tokens Help Boost the Indian Economy?: https://www.entrepreneur.com/article/359814 Is Tokenization The Engine To The Economy of The Future?: https://www.hackernoon.com/is-tokenization-the-engine-to-the-economy-of-the-future-qf2b3zjd SIFMA Issues Whitepaper on Digital Security Tokens: https://mondovisione.com/media-and-resources/news/sifma-issues-whitepaper-on-digital-security-tokens/ Blockchain, digital assets face legal hurdles: SIFMA: https://www.investmentexecutive.com/news/research-and-markets/blockchain-digital-assets-face-legal-hurdles-sifma/   = Market Updates = Leading DeFi Platform Level01 Secures Millions Ahead of Upcoming STO Listing: https://www.businesswire.com/news/home/20201121005043/en/Leading-DeFi-Platform-Level01-Secures-Millions-Ahead-of-Upcoming-STO-Listing First regulated firm to offer equity tokens on Balancer: https://medium.com/crescofin/first-regulated-firm-to-offer-equity-tokens-on-balancer-2f161a276c3d Security Token Market Joins the Japanese Security Token Association to Expand Global Security Token Adoption: https://medium.com/security-token-group/security-token-market-joins-the-japanese-security-token-association-to-expand-global-security-6071159734fd    = Industry Events = Stobox Hosted the Biggest Conference in the Field of Digital Securities: https://www.einnews.com/pr_news/531161254/stobox-hosted-the-biggest-conference-in-the-field-of-digital-securities  [Event] Tokenized Real Estate Panel by SolidBlock on December 4th: https://www.linkedin.com/pulse/were-back-bringing-you-another-world-first-yael-tamar Tinaga Resorts Beach Resort Backed Securitized Token Is Selling at a 50% Discount: https://www.benzinga.com/pressreleases/20/11/ac18478690/tinaga-resorts-beach-resort-backed-securitized-token-is-selling-at-a-50-discount

Gina McFadden was President of The Options Industry Council (OIC) from 2006 to 2013. She was OIC's Executive Director from 1995 to 2006. Concurrent with her OIC position, she was also a member of The Options Clearing Corporation's (OCC) senior management team, serving as Executive Vice President of Industry Services. Prior to that, she was Executive Vice President of OCC's Business Operations Group and Business/Product Development. Active on various industry committees and organizations including OIC's Roundtable, OCC's Operations Roundtable, SIFMA's Equity Options Roundtable, the STA Options Committee and the Futures Industry Association, she was also an inaugural board member of Women in Listed Derivatives (WILD), a professional development group for women. Gina completed the Kellogg Management Institute Graduate Program at Northwestern University and SIA's Securities Institute Program at the Wharton School. She has a B.A. from Barat College. After almost forty years in the options industry, Gina retired in 2013. She lives with her husband Marty in Chicago and Boca Grande, Florida, where she is on the board of the Boca Grande Art Center and active in other community and educational organizations. The Sullivan Awards named for Joseph W. Sullivan to recognize outstanding contributions in the options industry. Mr. Sullivan provided the vision and leadership to make listed options a reality and played a key role in the development of the Chicago Board Options Exchange, serving as its first president from 1972 until 1979. The Sullivan Award was established in 2002 by the Options Industry Council and has become a regular feature of the Options Industry Conference program. The award acknowledges an individual's achievement as measured by contributions to education, innovation and product development, and in helping to grow the industry. Gina McFadden, a long-time leader in the U.S. listed equity options industry, will be the first woman to receive the award. The past Sullivan Award recipients have been Joseph Sullivan himself, Wayne P. Luthringshausen, Paul G. Stevens, Jr., Ivers W. Riley, Thomas Peterffy, Jeffery S. Yass, David Krell, William J. Brodsky, William A. Porter, Lawrence G. McMillan, Edward J. Joyce, Meyer Sandy Frucher, Blair Hull and Robert E. Whaley.