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Explaining IOSCO (with Paul Andrews)

Paul Andrews, outgoing Secretary General of the International Organization of Securities Commissions, joins us to discuss global coordination of financial market regulation, IOSCO’s role in promoting financial stability, and views on regulatory developments related to GameStop, SPACs, Ant Financial, and ESG disclosure.

Crypto Motherhood (with Hester Peirce)

Crypto assets are becoming mainstream. Tens of millions of Americans own them. SEC Commissioner Hester Peirce, affectionately known as crypto mom for her pioneering thoughts on how digital assets should be treated by regulators, joins this episode to discuss their meteoric rise, potential future treatment by the SEC, and other views in this now $2 […]

Private Companies and Public Disclosures (with Allison Lee)

SEC Commissioner Allison Lee joins this episode to discuss her recent remarks calling for greater transparency in private markets, the impact of the secular decline in the number of public companies on retail investors, and the push for additional disclosures, particularly related to climate risk.

An Academic in Government (with John Coates)

Harvard Law School professor John Coates talks about his recent roles at the SEC, first as the head of the Division of Corporation Finance, and then as the Agency’s general counsel. For years he has studied financial regulation through the lens of a scholar, and he shares with us what it was like to put […]

Money Market Reform (with Erik Sirri)

Babson College professor Erik Sirri talks about money market fragility, his experience as a senior official at the SEC during the global financial crisis when they ‘broke the buck’, and how subsequent reform didn’t prevent them from being bailed out again, at the onset of the pandemic. He shares his thoughts about what to do […]

Inside SEC Enforcement (with Stephanie Avakian)

Former SEC Director of Enforcement, Stephanie Avakian, explains how legal actions are brought against those alleged to have engaged in market misconduct, the role of politically appointed Commissioners in deciding the actions, and how the process is changing with the new administration.

Market Self Regulation (with Tom Selman)

Tom Selman, former head of policy for FINRA, discusses how the regulatory organization supervises conduct at securities brokers and dealers, the meaning of a fiduciary duty, the challenges in protecting investors, and the temptations of over regulating markets.

Age of BlackRock (with Barbara Novick)

BlockRock co-founder, Barbara Novick, talks about the firm’s journey to a $9 trillion AUM, experiences from the global financial crisis, and how she started the global policy group and became a leading voice on financial market reform.

How Madoff Changed the SEC (with Stephen L. Cohen)

Bernie Madoff perpetrated the largest investment fraud in U.S. history. The SEC never knew, and its revelation shook the agency to its core. Former Enforcement attorney Stephen L. Cohen was put in charge of building the system to keep it from happening again. He joins this episode to reflect on the events that led from […]

The other NASA.A (with Melanie Lubin)

You may not realize, but the SEC is not the only securities market regulator in the US. Melanie Lubin, the Maryland Securities Commissioner and current President of NASAA (North American Securities Administrators Association), joins this episode to explain ‘cops on the beat’ securities regulation at the State level, and how States coordinate with each other […]