SEC Roundup

ICAN
  • 0.0 (0)
  • BUSINESS NEWS
  • UPDATED BIWEEKLY

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.

  1. OCT 31

    SEC Roundup 90: Is Regulation by Enforcement Dead? Former SEC Economists explain the “Atkins Effect”

    Why did SEC enforcement activity suddenly drop off a cliff? Nick and Tom host two former SEC economists, now with the Brattle Group, who crunched the numbers and uncovered a "dramatic decline" in cases that points to a seismic shift in policy under the new Atkins administration.

    15 min

  2. OCT 30

    SEC Roundup 89: Weaponizing the PCAOB? Four Professors Expose the PCAOB's "Punitive" Enforcement and Broken Incentives

    What's it like to get a permanent "scarlet letter" from the PCAOB? Tom Zaccaro and Nick Morgan host four professors whose new paper, based on candid interviews with former staff and sanctioned auditors, reveals a "punitive" system. They expose how a "numbers game" incentive structure is failing to protect investors and disproportionately targets small firms.

    26 min

  3. OCT 15

    SEC Roundup 88: Expanding Investor Choices - How Optional Semi-Annual Reporting & Arbitration Mandates Could Revitalize Public Markets

    Are quarterly earnings reports driving companies away from U.S. markets? Harvard’s Hal Scott thinks it's time for reform—on reporting, arbitration, and more.

    22 min

  4. SEP 29

    SEC Roundup 87: Day Traders vs. FINRA - The Fight to Reform the $25K PDT Rule

    Is FINRA protecting day traders and new investors—or setting them up to fail? Ross Cameron, the founder of Warrior Trading, joins Tom and Nick to explain why the $25K PDT rule backfires, how it pushes new traders into riskier waters, and what smart reform could look like. Click the link to help ICAN advocate for swift action on PDT Reform: https://www.icanlaw.org/pdt-reform-signup

    24 min

  5. SEP 17

    SEC Roundup 86: Meme Stocks, Free Speech, and Market Mayhem

    Howard Lindzon, CEO of Stocktwits, joins Nick Morgan and Jennifer Schulp to discuss the rise of meme stocks and the enduring power of retail investors. What does the movement reveal about market behavior — and how should regulators respond?

    19 min

  6. AUG 26

    SEC Roundup 85: The a16z Policy Proposal That Could Flip the SEC’s Approach to Crypto

    Miles Jennings, General Counsel at Andreessen Horowitz, joins Nick Morgan and Rodrigo Cerra to discuss a bold new proposal submitted to the SEC—a safe harbor that could finally bring clarity to crypto entrepreneurs navigating outdated broker-dealer rules.

    12 min

  7. JUL 30

    SEC Roundup 84: Cracks in the CAT — Court Rules Against SEC’s Massive Surveillance Tool

    The SEC’s Consolidated Audit Trail (CAT) just suffered a major legal blow. ICAN’s Nick Morgan is joined by Jennifer Schulp—frequent SEC Roundup co-host and Cato Institute financial regulation expert—along with ASA CEO Chris Iacovella, to unpack the 11th Circuit’s rebuke of the CAT’s funding model and what it means for investor privacy, surveillance, and SEC overreach.

    16 min

  8. JUN 20

    SEC Roundup 83: SEC Staff Gone Rogue—Federal Action Without Commission Approval

    Despite three Supreme Court rulings questioning its administrative power—and a new Commission leadership in place—the SEC’s Enforcement Division went to federal court without even informing the Commission. Russ Ryan returns to expose this unauthorized action, what it means for due process, and why internal oversight at the SEC may be more broken than ever.

    42 min
See All (13)

About

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.

Information

  • Creator
    ICAN
  • Years Active
    2K
  • Episodes
    13
  • Rating
    Clean
  • Copyright
    © ICAN
  • Show Website
    SEC Roundup