Policy in Pieces
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.
Protecting Investors (with Barbara Roper)
Barbara Roper, director for investor protection at the Consumer Federation of America, has spent more than three decades advocating for American investors and fair markets. She joins this episode to talk about the impact of financial regulation on under-informed investors, how she advocates for them in the rule-making process, and her views on market conduct […]
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.
Crime and Crypto (with Dave Michaels)
Wall Street Journal reporter Dave Michaels talks about his tradecraft in covering the enforcement of regulation in financial markets, political views on pursuit and punishment, the responsibilities of media in shaping investor views, and open questions for a new administration.
From Regulator to Regulated (with Dan Gallagher)
In our inaugural episode “From Regulator to Regulated,” Robinhood Chief Legal Officer Dan Gallagher discusses how the FinTech disrupter is challenging the established orthodoxy on investing, and reminisces about his time in government overseeing financial firms and his role in responding to the Global Financial Crisis.