The SIFMA Podcast

The face of the individual investor is changing.In part one of this two-part podcast, SIFMA president and CEO Kenneth E. Bentsen, Jr. sits down with Ken Cella of Edward Jones to discuss how financial advice is evolving alongside the changing investor and why it is more critical than ever to work with a financial advisor. In part two, Bentsen and Broadridge’s Dan Cwenar dive into the findings from an unprecedented new study on the retail investor and share some surprising insights.

In the latest in SIFMA’s podcast series, SIFMA president and CEO Kenneth E. Bentsen, Jr. is joined independent financial planning professional Steve Budin, the President of the Budin Group. During their conversation, Steve explains his work on behalf of his clients and community as an independent financial advisor, and why his independent contractor status is important to that work. A bill currently under consideration in Congress known as the ‘PRO Act’ would change how independent contractor status is determined, adversely impacting these hundreds of thousands of independent financial advisors, including Steve.

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

In this edition of SIFMA's Diversity, Equity & Inclusion (DEI) podcast series, SIFMA’s Amena Ross, Managing Director of Advocacy, sat down with Gary Hall, Partner and Head of Investment Banking at Siebert Williams Shank & Co., to understand the meaning of DEI to the firm and how it prioritizes DEI in every facet of the business.

The Need for Federal Legislation in the LIBOR Transition by SIFMA

In this edition of SIFMA's Diversity, Equity & Inclusion (DEI) podcast series, SIFMA’s Amena Ross, Managing Director of Advocacy, sat down with Wendy John, Head of Global Diversity & Inclusion at Fidelity, to review how Fidelity is building a community with its employees as well as investing in diverse communities nationwide through its commitment to financial literacy.

In the latest in SIFMA’s podcast series, SIFMA president and CEO Kenneth E. Bentsen, Jr. is joined by Jason Plank, a financial planning professional on the independent platform with Ameriprise Financial in Edina, MN. During their conversation, Jason explains his work on behalf of his clients and community as an independent financial advisor, and why his independent contractor status is important to that work. A bill currently under consideration in Congress known as the ‘PRO Act’ would change how independent contractor status is determined, adversely impacting these hundreds of thousands of independent financial advisors, including Jason.

Explore how Goldman Sachs is seeks to address racial equity in the financial services industry and its work in back communities, with its clients, and within its own organization.

In the latest in SIFMA’s podcast series, SIFMA president and CEO Kenneth E. Bentsen, Jr. is joined by Ellen Greene, SIFMA managing director, equity and options market structure and Joe Corcoran, managing director and associate general counsel to talk about the current state of the Consolidated Audit Trail, or CAT.

SIFMA president and CEO Kenneth E. Bentsen, Jr. and CEO of the Global Financial Markets Association(GFMA)is joined by Allison Parent, Executive Director of GFMA, and Roy Choudhury, Managing Director and Partner at Boston Consulting Group (BCG), to discuss the new report GFMA wrote in collaboration with BCG, “Climate Finance Markets and the Real Economy: Sizing the Global Need and Defining the Market Structure to Mobilize Capital.”Discover more about the report here: https://www.sifma.org/resources/submissions/climate-finance-markets-and-the-real-economy/.