SEC Roundup

Podcast af ICAN

engelsk

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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.

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20 episoder

SEC Roundup 97: Why Everyone is Suing the SEC

Why is the SEC suddenly facing a historic wave of lawsuits? Professor Amanda Rose joins us to discuss the "rational actor" shift in securities defense. From Supreme Court wins to the rise of pro-bono advocacy, discover why market participants are finally fighting back against the agency’s long-standing regulatory levers.

8. maj 2026 - 21 min

SEC Roundup 96: Inside the 2026 Enforcement Manual Updates

Is the SEC finally opening up? Co-hosts Nick Morgan and Tom Zaccaro welcome former SEC Associate Director Lori Echavarria to break down the first major update to the SEC Enforcement Manual in nearly ten years. From expanded Wells response times to the return of simultaneous settlement waivers, discover how these "user manual" changes signal a new era for 2026 investigations.

12. mar. 2026 - 32 min

SEC Roundup 95: Investigative Slop & Hallucinations—The Dark Side of the SEC's New AI Task Force

Is the SEC entering its "Moneyball" era? Co-hosts Nick Morgan and Tom Zaccaro sit down with Stan Yakoff, founder of RegLabs.ai, to discuss the infiltration of AI at the Commission. From the risk of "AI investigative slop" to the RegLab’s tools that help you stay ahead of compliance requirements, this episode explores the high-tech future of compliance, enforcement, and the dangerous future of AI-enabled regulators.

6. mar. 2026 - 25 min

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.

13. feb. 2026 - 46 min

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.

29. jan. 2026 - 19 min

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