inSecurities
Inside the Municipal Securities Market: A Conversation with Mark Kim

Inside the Municipal Securities Market: A Conversation with Mark Kim

May 19, 2022

On this episode of inSecurities, Chris & Kurt chat with Mark Kim, Chief Executive Officer of the Municipal Securities Rulemaking Board (MSRB). They discuss the $4 trillion municipal securities market, the role of the MSRB, and how the MSRB is building more efficient and transparent markets.  

 

On the Path to Well-Being: Expert Perspectives for Attorneys and Accountants

On the Path to Well-Being: Expert Perspectives for Attorneys and Accountants

May 5, 2022

May is Mental Health Awareness Month, and the first week of May is Well-Being Week in Law. To complement PLI’s catalog of mental health and well-being programs, on this episode Chris and Kurt step away from the world of securities regulation to talk about some of the challenges many attorneys and accountants face, and how they can set out on a path to wellness.

First, Chris and Kurt chat with Denise Perme, Associate Director of the D.C. Bar’s Lawyer Assistance Program, to talk about drivers of substance use disorders, anxiety, depression, and stress, and to highlight resources available for professionals who need help on their path to wellness.

Next, Chris and Kurt talk with Gretchen Pisano, CEO and co-founder of pLink Leadership, and an executive coach and consultant who leans on her background in behavioral science and positive psychology to fundamentally change the way people work and lead.

There’s much to learn from this essential episode of the inSecurities podcast. Most importantly, if you are grappling with any of the issues we address in this issue, please remember that you are not alone. Reach out to an LAP Support Group, talk to your employer about resources available at or through work, or phone a friend.

Learn more about the D.C. Bar’s Lawyer Assistance Program here, and tune in to the D.C. Bar’s wellness podcast, Toward Well-Being, here.

Learn more about the ABA’s Commission on Lawyer Assistance Programs or resources in your state here.

Learn more about pLink Leadership here.

Going Off the Beaten Path with Alex Su

Going Off the Beaten Path with Alex Su

April 21, 2022

“If you want to do something extraordinary you will have to inevitably do something uncomfortable and scary.” In other words, go off the beaten path. That’s the advice of Alex Su, a lawyer turned-social media influencer, author of the Off The Record newsletter, and Head of Community Development at Ironclad. On this episode of the inSecurities podcast, Alex offers advice to professionals who are considering their next career move.  

Follow Alex on TikTok (@legaltechbro) and Twitter (@heyitsalexsu), or subscribe to his Substack newsletter, Off The Record

Innovative Markets: Where Retail Investors and Market Makers Meet

Innovative Markets: Where Retail Investors and Market Makers Meet

April 7, 2022

On this episode of the inSecurities podcast, Chris and Kurt chat with Kirsten Wegner, CEO of Modern Markets Initiative (“MMI”), about the rise of the retail investor, the role of market makers in promoting fair and efficient markets, and the ubiquity of algorithmic and high-frequency trading. They also learn about MMI’s efforts to promote innovative, competitive, and transparent capital markets. 

Bringing order to the regulatory chaos for crypto?

Bringing order to the regulatory chaos for crypto?

March 24, 2022

On March 9, 2022, President Biden signed an Executive Order on Ensuring Responsible Development of Digital Assets, marking the “first ever, whole-of-government approach to addressing the risks and harnessing the potential benefits of digital assets and their underlying technology.” On this episode of inSecurities, Chris and Kurt sit down with experts Carla Carriveau, the Chief Legal Officer of CoinList, and Michael Liftik, a Co-Chair of Quinn Emanuel’s SEC Enforcement Practice, to find out whether the Executive Order will bring order to the regulatory chaos for crypto.  

On the Front Lines of Investor Protection

On the Front Lines of Investor Protection

March 10, 2022

Chris & Kurt chat with FINRA’s Deputy Head of Enforcement, Chris Kelly, to learn what it’s like on the front lines of FINRA Enforcement. Chris discusses how FINRA’s role as a self-regulatory organization helps it fulfill its regulatory mandate, what FINRA means when it says its goal is “to get to the right regulatory outcome,” and why member firms facing a potential disciplinary action should actually be open to a dialogue with FINRA.

FASB, PCAOB & the SEC: Alphabet Soup with SEC Institute’s George Wilson

FASB, PCAOB & the SEC: Alphabet Soup with SEC Institute’s George Wilson

February 24, 2022

Kurt and Chris welcome back SECI Director George Wilson to cover recent developments in SEC, PCAOB, and FASB news. George gives his take on new PCAOB leadership, goodwill accounting standards reform, recent developments around 10b5-1 plans, and the stock buyback regulations.  

Subscribe to the SEC Institute’s Quarterly Newsletter. 

A Former Director of Enforcement Peeks Around the Corner

A Former Director of Enforcement Peeks Around the Corner

February 10, 2022

Stephanie Avakian, the head of WilmerHale’s Securities and Financial Services Department and a former Director of the SEC’s Enforcement Division, talks with Chris and Kurt about changes in tone for the Division of Enforcement, current enforcement priorities, and what she’s watching on the enforcement horizon.

Capitalism, Democracy and Innovation: Robinhood Continues to Change the Game

Capitalism, Democracy and Innovation: Robinhood Continues to Change the Game

January 27, 2022

Robinhood is on a mission to “democratize finance for all.” Chris & Kurt sit down with Robinhood’s Deputy General Counsel, Lucas Moskowitz, to talk about Robinhood’s mission, how 2021 changed Robinhood – and the markets – for good, and what regulatory changes Robinhood spies on the horizon. They also have fun with some Robin Hood trivia.

Investigative Journalism, Securities Markets, and Succession with Jesse Eisinger

Investigative Journalism, Securities Markets, and Succession with Jesse Eisinger

January 13, 2022

Chris and Kurt sit down with Jesse Eisinger, senior editor at ProPublica, Pulitzer Prize-winning journalist covering the financial markets and the 2008 financial crisis, and author of The Chickenshit Club: Why the Justice Department Fails to Prosecute Executives (2017). Their conversation focuses on reporting in the securities markets, his prophetic (and award-winning) writing about the fall of the housing market and its impacts, and his recent work as a consultant on the hit HBO show Succession.

 

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