SEC Roundup

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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. 13 THG 2

    SEC Roundup 94: 4 Big Cases to Watch in 2026

    Host Nick Morgan and an expert panel break down the four most consequential SEC and financial cases of 2026. From the "Shadow Trading" appeal in the Ninth Circuit to a Supreme Court showdown over $5 billion in stuck funds, learn how these rulings will impact investors, crypto platforms, and the future of enforcement.

    47 phút

  2. 29 THG 1

    SEC Roundup 93: Is the SEC’s Penalty System Broken?

    How does the SEC decide on civil penalties? According to our guests, it’s more arbitrary than you think. Former SEC attorney David Slovick and Vanderbilt law professor Phil Lieberman join to unpack their eye-opening research on inconsistent fines, flawed incentives, and what real reform could look like.

    20 phút

  3. 18/12/2025

    SEC Roundup 92: Victimless Disgorgement? The SEC Seeks SCOTUS Endorsement

    The SEC wants the Supreme Court to approve a powerful enforcement tool—even when there’s no investor harm. In this episode, Nick Morgan and Thomas Zaccaro are joined by Kari Axel to unpack what this means for innovation, fairness, and the future of securities enforcement.

    17 phút

  4. 08/12/2025

    SEC Roundup 91: SolarWinds vs. SEC: The "Abrupt Surrender" That Shocked the Industry

    The SEC’s attempt at a major cybersecurity enforcement precedent against SolarWinds failed spectacularly. CISO Tim Brown and his lawyers detail the landmark legal win that secured an abrupt, complete dismissal of the case.

    34 phút

  5. 31/10/2025

    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 phút

  6. 30/10/2025

    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 phút

  7. 15/10/2025

    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 phút

  8. 29/09/2025

    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 phút
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Giới Thiệu

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.

Thông Tin

  • Nhà sáng tạo
    ICAN
  • Năm hoạt động
    2025 - 2026
  • Tập
    17
  • Xếp hạng
    Sạch
  • Bản quyền
    © ICAN
  • Trang web chương trình
    SEC Roundup