SEC Roundup
ICANSEC 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 entre... more
| Publishes | Twice monthly | Episodes | 12 | Founded | 8 months ago |
|---|---|---|---|---|---|
| Number of Listeners | Categories | NewsBusiness News | |||
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Latest Episodes
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 t... more
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 ... more
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.
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 r... more
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?
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new proposal submitted to the SEC—a safe harbor that could finally bring clarity to crypto entrepreneurs navigating outdated broker-dealer r... more
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 1... more
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 unauthorize... more
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Apple Podcasts | #147 |  Japan/News/Business News |
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| Listeners per Episode | Gender Skew | Location | |||
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| Interests | Professions | Age Range | |||
| Household Income | Social Media Reach | ||||
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SEC Roundup launched 8 months ago and published 12 episodes to date. You can find more information about this podcast including rankings, audience demographics and engagement in our podcast database.
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