TUNGKOL SA PODCAST NA ITO 🔗
SEC Roundup brings you inside conversations with securities law experts, former regulators, and industry leaders to examine the real-world impacts of SEC enforcement actions and rulemaking. Hosted by ICAN's Nicolas Morgan and Thomas Zaccaro, both former SEC enforcement attorneys, this series cuts through legal jargon to provide clear analysis of how SEC policies affect everyday investors and entrepreneurs. From landmark court decisions to regulatory developments, SEC Roundup delivers expert perspective on the critical balance between effective regulation and market freedom.
Dalas ng pag-update:
every 20 days
Average na haba ng audio:
24 minutes
Panayam sa panauhin
Ingles
Estados Unidos
29 yugto
mula noong March 14, 2025
episodic
PINAKAHULING EPISODE 🔗
For the first time in four decades, the SEC is rewriting the rules for transfer agents, the firms that keep the official record of who owns a company’s shares. The biggest change is that this record could live on a blockchain, as long as the agent keeps “exclusive control.” The proposal never defin…
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MGA NAKARAANG EPISODE 🔗
The SEC has proposed scrapping Rule 206(4)-5, the pay-to-play rule that cuts off government-client fees for two years after a political contribution. Advisers shouldn't delete their policies. Sidley's Hardy Callcott — former SEC assistant general counsel for Market Regulation and former Schwab gene…
What happens when standard legal due diligence is treated as a securities violation? Today we sat down with New York immigration attorney and ICAN client Mona Shah. Mona recounts her three-year legal battle against the SEC, which charged her firm under Section 5 despite alleging zero fraud or inves…
With the SEC's approval of Nasdaq's new $5 million listing rule now frozen, the fight over small-company delisting is wide open. In Episode 103 of SEC Roundup, we welcome Small Public Company Coalition president Marc Indeglia and former SEC Chief Economist Professor Craig Lewis to explain the "…
With the SEC currently soliciting public feedback on its Draft Strategic Plan (FY 2026–2030), the window to reform regulatory overreach is wide open. In Episode 102 of SEC Roundup, we welcome securities attorney Kimble Charles Cannon to expose a critical flaw in SEC enforcement: "Regulation by…
The Supreme Court just handed the SEC a unanimous victory in a high-stakes disgorgement case—but is it actually an empty win? Co-hosts Nick Morgan and Tom Zaccaro sit down with former SEC economic assistant director Erin Smith, Executive Vice President at Compass Lexecon, to expose the massive lega…
For the 100th episode of SEC Roundup, we count down the top 5 most critical legal battles in the history of the show. From submitting landmark amicus briefs alongside Mark Cuban at the Supreme Court to defending clients when the SEC literally tried to sue a piece of computer code, this episode is a…
Who actually holds the power when the SEC writes the rules of Wall Street? Co-hosts Nick Morgan and Tom Zaccaro sit down with Dartmouth and University of Florida professors Gabriel Voelcker and Gabriel Pündrich. Using AI to analyze 30 years and over 65,000 public comment letters, their groundbreaki…
What happens when the system designed to police Wall Street breaks down entirely? Co-hosts Nick Morgan and Tom Zaccaro welcome veteran trial counsel Bob Knuts to expose a stunning breakdown in administrative justice. They dissect the case of Lek Securities Corporation, which was left trapped in reg…
Why is the SEC suddenly facing a historic wave of lawsuits? Professor Amanda Rose joins us to discuss the "rational actor" shift in securities defense. From Supreme Court wins to the rise of pro-bono advocacy, discover why market participants are finally fighting back against the agency’s…
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