inSecurities

Practising Law Institute
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inSecurities

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

  1. 6 DAYS AGO

    Positively Ponzi With Kathy Phelps

    We revisit a favorite topic here on the inSecurities podcast — Ponzi schemes — but with a practicing attorney and author who literally wrote the book on Ponzi: Kathy Phelps, partner at Raines Feldman Littrell LLP. Chris and Kurt discuss some of the more technical aspects of the law and accounting that come into play after a Ponzi scheme has collapsed, and the issues that result regarding recovery, equitable relief, and the claims process.

    59 min

  2. OCT 3

    SECI Quarterly Update With George Wilson

    On this episode of the inSecurities podcast, Chris and Kurt visit again with George Wilson, Director of PLI’s SEC Institute, to discuss highlights from the SECI Quarterly Newsletter. George highlights key takeaways from PCAOB’s 2023 inspection reports, CorpFin’s statements on cybersecurity incident disclosures, litigation challenging the SEC’s climate-related disclosure rules, recent SEC whistleblower developments, and the decades-in-the-making completion of the so-called “conceptual framework.” Tune in to learn more, or go to pli.edu/programs/seci to explore all of the SEC Institute’s helpful content.

    49 min

  3. SEP 19

    SEC’s Brat Summer – Current Events with Sandra Hanna

    With Kurt absent this week, Chris discusses current developments at the SEC with Sandra Hanna, who leads the securities enforcement practice at Steptoe. They discuss the short term impacts of Jarkesy, how 102(e) actions are evolving in real-time, the state of ESG enforcement after the disbanding of the Task Force, and what the SEC might look like in 2025.

    35 min

  4. SEP 5

    Quality Audits Protect People: A Conversation With PCAOB Chair Erica Williams

    Chris and Kurt sit down with Erica Williams, Chair of the Public Company Accounting Oversight Board (PCAOB). Chair Williams talks about her journey to the Chair’s office, the PCAOB’s rulemaking agenda, and the role of PCAOB inspections and enforcement. She also shares key takeaways from the PCAOB’s 2023 Annual Inspection Reports and a new staff Spotlight publication, which provides an overview of staff observations from the 2023 inspections. Finally, Chair Williams details steps the Board has taken to make the PCAOB a better place to work, and some of the items on her to-do list in her next term as Chair. Sign up for email updates on the inSecurities podcast as well as PLI’s securities related programs and publications

    38 min

  5. AUG 22

    Special Crossover Episode With Pursuing Justice: Aiding Underserved Investors

    In this special crossover episode with PLI’s Pursuing Justice podcast, hear about how pro bono clinics can help vulnerable investors protect their hard-earned retirement funds and nest eggs. Chris and Kurt are joined by Alicia Aiken, Director of the Danu Center’s Confidentiality Institute and host of PLI’s podcast Pursuing Justice: The Pro Bono Files, for an informative conversation with law professors, a recent law school grad, and an SEC attorney about their work aiding underserved retirees.

    54 min

  6. AUG 8

    PLI’s “The SEC at 90” Program

    On this episode of the inSecurities podcast, Chris and Kurt sit down with Cliff Kirsch, a partner at Eversheds Sutherland and Chair of the PLI program “The SEC at 90: A Celebration and Retrospective.” Cliff shares some of his key takeaways from this half-day PLI program aimed at celebrating the past, examining the present, and looking to the future of the SEC. Among other topics, Chris, Kurt, and Cliff discuss SEC Commissioner Peirce’s call for a retroactive look at rules on the books and a refocusing on the SEC’s core competencies. You can watch “The SEC at 90” on-demand on the PLI website: https://www.pli.edu/programs/the-sec-at-90?t=ondemand&tCode=GTZ4_ONDMD

    29 min

  7. JUL 25

    Supreme Swipes at the SEC

    On this episode of the inSecurities podcast, Chris and Kurt discuss recent U.S. Supreme Court decisions that will have profound impacts for the SEC and other agencies. First, our co-hosts discuss the Jarkesy case, which held that defendants in SEC enforcement proceedings have a Constitutional right to have fraud cases heard by a jury. Next, Chris and Kurt discuss Loper Bright, which overrules the decades-old Chevron doctrine, ending the presumption that courts must rely on agencies’ interpretations of ambiguous statutes.

    1 hr

  8. JUL 11

    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.

    59 min
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4.9
out of 5
35 Ratings

About

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

Information

  • Creator
    Practising Law Institute
  • Years Active
    2019 - 2024
  • Episodes
    134
  • Rating
    Clean
  • Copyright
    © Copyright 2023 All rights reserved.
  • Show Website
    inSecurities

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