ICAN
SEC Roundup
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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Episodi
SEC Roundup 80: Challenging the SEC’s Silent Sanctions and Lifelong Penalties 23.04.2025 22:57
Dr. Thomas Powell joins ICAN co-founder Nick Morgan and Mark Hiraide to share how a 2021 SEC settlement turned into a years-long professional purgatory. They discuss the reality of SEC industry bars, the collateral damage they cause, and the constitutional issues raised by “neither admit nor deny” settlements. Powell’s case, now in the Ninth Circuit, could have major implications for how the SEC h...
SEC Roundup 79: SEC Backs Off Dealer Rule, But Legal Uncertainty Remains 27.03.2025 15:18
The SEC’s dealer rule was struck down in federal court, and the agency has withdrawn its appeal (and apparently backed off of other ongoing litigation)—but the legal battle over the definition of a securities dealer isn’t over. ICAN co-founder Nick Morgan speaks with Daniel Austin and Suzan Rose from the Alternative Investment Management Association (AIMA) about how the SEC has used litigation to...
SEC Roundup 78: ASA Challenges the Constitutionality of the MSRB 14.03.2025 18:31
The American Securities Association (ASA) is challenging the constitutionality of the Municipal Securities Rulemaking Board (MSRB) in the 11th Circuit. ICAN co-founder Nick Morgan and guest host Sarah Concannon talk with ASA CEO Chris Iacovella about the lawsuit, its implications for self-regulatory organizations, and the SEC’s push for faster trade reporting. Tune in for expert insights on this h...
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