127 episodes

PLI’s in-depth podcast examining changes to securities rules, regulations, and cases from a practitioner’s perspective in both law and accounting.

inSecurities Practising Law Institute

    • News
    • 4.9 • 35 Ratings

PLI’s in-depth podcast examining changes to securities rules, regulations, and cases from a practitioner’s perspective in both law and accounting.

    The Need for Arbitration Clinics

    The Need for Arbitration Clinics

    This episode of the inSecurities podcast features a roundtable with pro bono experts who discuss the need for law school clinics that represent retail investors in FINRA arbitrations.
    Nicole Iannarone, Associate Professor of Law at Drexel University Thomas R. Kline School of Law, and Christine Lazaro, Professor of Clinical Legal Education and Director of the Securities Arbitration Clinic at St. John’s University School of Law, join the podcast, along with Alicia Aiken, Director of the Danu Center’s Confidentiality Institute and host of PLI’s podcast Pursuing Justice: The Pro Bono Files, who steps in as a special guest co-host.
    Keep an eye out for a forthcoming episode of Pursuing Justice that will feature interviews with past clinic participants.

    • 58 min
    Gary Gensler: Leaning into Protecting the American Public

    Gary Gensler: Leaning into Protecting the American Public

    SEC Chair Gary Gensler joins the inSecurities podcast to talk about how he and the Commission engage with the public, his efforts to build trust in the US capital markets, and the role of the SEC in protecting investors. Chair Gensler also discusses the SEC’s role with respect to cryptocurrencies (or “digital asset securities”) and tells us why US investors should be wary of “AI washing.”

    • 46 min
    Educate and Activate: Successful Corporate Affairs Strategies

    Educate and Activate: Successful Corporate Affairs Strategies

    Erik Hotmire, Co-Founder of the consulting firm Watermark Strategies, joins the inSecurities podcast to discuss key characteristics of successful corporate affairs strategies. Erik tells Chris and Kurt how he draws on his experience as former spokesperson and Senior Advisor to the Chairman of the SEC in developing bespoke strategies for clients, and how the game has changed from a stakeholder engagement perspective.

    • 45 min
    The Short Seller Enrichment Commission: Alex Platt Discusses His Latest SEC Whistleblower Research

    The Short Seller Enrichment Commission: Alex Platt Discusses His Latest SEC Whistleblower Research

    Alex Platt, an Associate Professor at the University of Kansas School of Law, joins the inSecurities podcast to discuss his latest research paper, which documents the involvement of activist short sellers in the SEC whistleblower bounty program. Professor Platt explains why this phenomenon may undermine the SEC’s goal of rooting out and deterring misconduct, and he proposes modest tweaks to the whistleblower rules to address the issue.
    On the episode, Chris and Kurt also chat with Professor Platt about his past whistleblower research, including his papers “The Whistleblower Industrial Complex” and “Going Dark(er): The SEC Whistleblower Program’s Least Transparent Annual Report in Agency History.”

    • 42 min
    Ninety Years of Financial Regulation: Taming the Street With Diana Henriques

    Ninety Years of Financial Regulation: Taming the Street With Diana Henriques

    Award-winning journalist Diana Henriques has spent her career covering financial markets, white collar crime, and market regulation. She joins Kurt and Chris to discuss her recent book, Taming the Street: The Old Guard, the New Deal, and FDR’s Fight to Regulate American Capitalism, which chronicles the decade following the 1929 stock market crash, and the men in government and in the markets who fought to provide the framework for financial regulation that we still utilize today.

    • 1 hr 2 min
    Casting a Long Shadow: Assessing the Panuwat Insider Trading Case

    Casting a Long Shadow: Assessing the Panuwat Insider Trading Case

    In April 2024, the SEC prevailed on insider trading charges against Matthew Panuwat, relying for the first time on a theory known as “shadow trading.” Nick Morgan of ICAN and Steve Cazares of Orrick join the inSecurities Podcast to discuss an amicus brief ICAN submitted in the Panuwat litigation, policy arguments against the “shadow trading” theory of liability, and the future of “shadow trading” cases for the SEC and DOJ.

    • 41 min

Customer Reviews

4.9 out of 5
35 Ratings

35 Ratings

gjb9 ,

Great podcast!

I’m so impressed that these guys can consistently produce such high level content on such a consistent basis. Especially during a robust 2021 market where most industry practitioners are completely swamped. I’m personally very inspired and grateful to Chris and Kurt.

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!

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