58 episodes

Hosted by Chris Ekimoff, a forensic accountant, and Kurt Wolfe, a securities regulatory attorney, inSecurities is an in-depth biweekly podcast showcasing practitioner perspectives on changes within the securities field. Chris and Kurt discuss how changes to the rules and regulations will affect your businesses or your clients while providing background from two separate but overlapping perspectives.

In an increasingly complex business environment where intricate corporate structures reign, tune into InSecurities to help make sense of it all.

inSecurities Practising Law Institute

    • News
    • 5.0 • 27 Ratings

Hosted by Chris Ekimoff, a forensic accountant, and Kurt Wolfe, a securities regulatory attorney, inSecurities is an in-depth biweekly podcast showcasing practitioner perspectives on changes within the securities field. Chris and Kurt discuss how changes to the rules and regulations will affect your businesses or your clients while providing background from two separate but overlapping perspectives.

In an increasingly complex business environment where intricate corporate structures reign, tune into InSecurities to help make sense of it all.

    Investigative Journalism, Securities Markets, and Succession with Jesse Eisinger

    Investigative Journalism, Securities Markets, and Succession with Jesse Eisinger

    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.


     


    Links for shownotes:


    “The Giant Pool of Money,” This American Life, https://www.thisamericanlife.org/355/the-giant-pool-of-money

    “You May Be Paying a Higher Tax Rate Than a Billionaire,” ProPublica, https://www.propublica.org/article/you-may-be-paying-a-higher-tax-rate-than-a-billionaire

    The Chickenshit Club: Why the Justice Department Fails to Prosecute Executives, www.amazon.com/Chickenshit-Club-Department-Prosecute-Executives/dp/1501121367   


     

    • 54 min
    Cheers! Regulatory Resolutions & More at the inSecurities NYE Party

    Cheers! Regulatory Resolutions & More at the inSecurities NYE Party

    Ring in the New Year with inSecurities! Guests on the inSecurities podcast keep listeners current on the latest securities regulatory and enforcement developments. On this special New Year’s Eve episode of the podcast, Chris and Kurt visit with past guests at a virtual cocktail party, including SEC Commissioner Hester Peirce, Jane Norberg, and professors Daniel Taylor, James Tierney, J.W. Verret, and Karen Woody. Tune in to learn how the regulatory landscape is changing, and hear our guests’ 2022 securities regulatory resolutions. Cheers! 


    2:30 – Dan Taylor  


    11:00 – Hester Peirce 


    19:20 – Karen Woody 


    26:55 – James Tierney   


    38:00 – Jane Norberg 


    45:06 – JW Verret 


    https://www.pli.edu/insecurities 

    • 1 hr 1 min
    Focus on FINRA Enforcement with Jessica Hopper

    Focus on FINRA Enforcement with Jessica Hopper

    In this episode of the inSecurities podcast, Chris and Kurt sit down with FINRA Head of Enforcement Jessica Hopper to talk about the role of FINRA Enforcement and several of FINRA’s enforcement priorities – including “finfluencers,” cybersecurity, and complex products – and then bust a few myths about FINRA Enforcement.


    Tune in to this episode of FINRA’s own podcast, Unscripted, to hear more from Jessica: https://www.finra.org/media-center/finra-unscripted/enforcement-jessica-hopper-introduction


    https://www.pli.edu/insecurities 


     

    • 58 min
    Full Disclosure: Commissioner Lee on Private Markets and ESG

    Full Disclosure: Commissioner Lee on Private Markets and ESG

    SEC Commissioner Allison Herren Lee sits down with Chris & Kurt to share her views on how the Commission might enhance investor protection and increase transparency in private markets and update the ESG disclosure regime to meet the needs and demands of investors . . . along with the benefits of “beautiful accounting footnotes.”  


    Be sure to read Commissioner Lee’s recent speech, “Going Dark: The Growth of Private Markets and the Impact on Investors and the Economy,” available here: https://www.sec.gov/news/speech/lee-sec-speaks-2021-10-12 


    https://www.pli.edu/insecurities


     


     

    • 49 min
    Special Episode: The 2021 SEC Enforcement “Report”

    Special Episode: The 2021 SEC Enforcement “Report”

    The SEC’s Division of Enforcement just released its enforcement results for FY2021. On this special episode, Chris and Kurt break down the results with Quinn Emanuel partner, Sarah Heaton Concannon.


    https://www.pli.edu/insecurities

    • 37 min
    Play It Again: An Expert’s Take on Gamification & Stock Trading

    Play It Again: An Expert’s Take on Gamification & Stock Trading

    Nebraska College of Law Professor James F. Tierney explains how many apps incorporate design features — sometimes called “gamification” — to influence investor behavior. Professor Tierney also explores with Chris & Kurt some of the regulatory and policy implications of those design features. 


    https://www.pli.edu/insecurities


     


     

    • 59 min

Customer Reviews

5.0 out of 5
27 Ratings

27 Ratings

sctrva ,

Remember Kurt Wolfe’s name

Clever and informative. Kurt Wolfe is changing the game. Remember his name!

scbruet ,

Very informative!

Great guests, and very knowledgeable hosts who do their homework. They will sprinkle in some topical pop culture references to keep it “wonky.” Great listen!

SM11373 ,

Law and Accounting

The inSecurities podcast shares perspectives from both the legal and accounting fields. The podcast also addresses a variety of topics such as legal recruiting during Covid-19 and diversity within these professions. Great job!!

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