SEC Roundup
by ICAN
Latest episode
SEC Roundup Ep 106: Can a Blockchain Be the Official Record of Who…
SEC Roundup Ep 106: Can a Blockchain Be the Official Record of Who…
About this podcast
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.
Episodes
The newest 20 of 29 episodes
- SEC Roundup Ep 106: Can a Blockchain Be the Official Record of Who Owns What? · 30 min · Season 1 Episode 106For the first time in four decades, the SEC is rewriting the rules for transfer agents, the firms that keep the official record of who owns a company’s shares. The biggest change…
- SEC Roundup 105: The SEC Pay-to-Play Repeal Illusion · 18 min · Season 1 Episode 105The SEC has proposed scrapping Rule 206(4)-5, the pay-to-play rule that cuts off government-client fees for two years after a political contribution. Advisers shouldn't delete…
- SEC Roundup Ep 104: Fix the Gate, Don't Shoot the Gatekeeper · 19 min · Season 1 Episode 104What happens when standard legal due diligence is treated as a securities violation? Today we sat down with New York immigration attorney and ICAN client Mona Shah. Mona recounts…
- SEC Roundup Ep 103: The Delisting Cliff – How Nasdaq's $5M Rule Threatens Small Public Companies · 40 min · Season 1 Episode 103With the SEC's approval of Nasdaq's new $5 million listing rule now frozen, the fight over small-company delisting is wide open. In Episode 103 of SEC Roundup, we welcome Small…
- SEC Roundup Ep 102: Regulation by Delay - How the SEC has Weaponized the Wells Process · 24 min · Season 1 Episode 95With the SEC currently soliciting public feedback on its Draft Strategic Plan (FY 2026–2030), the window to reform regulatory overreach is wide open. In Episode 102 of SEC…
- SEC Roundup 101: The SEC's Narrow Supreme Court Win—A Single Battle in a War to Come · 20 min · Season 1 Episode 101The Supreme Court just handed the SEC a unanimous victory in a high-stakes disgorgement case—but is it actually an empty win? Co-hosts Nick Morgan and Tom Zaccaro sit down with…
- 100 Episodes Later—ICAN’s Top 5 Showdowns Against SEC Overreach · 17 min · Season 1 Episode 100For the 100th episode of SEC Roundup, we count down the top 5 most critical legal battles in the history of the show. From submitting landmark amicus briefs alongside Mark Cuban…
- SEC Roundup 99: Regulatory Capture or Power to the People—What do SEC rule comment letters tell us? · 25 min · Season 1 Episode 99Who actually holds the power when the SEC writes the rules of Wall Street? Co-hosts Nick Morgan and Tom Zaccaro sit down with Dartmouth and University of Florida professors…
- SEC Roundup 98: How the SEC Unlawfully Delayed a Case for Ten Years · 24 min · Season 4 Episode 102What happens when the system designed to police Wall Street breaks down entirely? Co-hosts Nick Morgan and Tom Zaccaro welcome veteran trial counsel Bob Knuts to expose a…
- SEC Roundup 97: Why Everyone is Suing the SEC · 22 min · Season 1 Episode 97Why 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…
- SEC Roundup 96: Inside the 2026 Enforcement Manual Updates · 32 min · Season 1 Episode 96Is 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…
- SEC Roundup 95: Investigative Slop & Hallucinations—The Dark Side of the SEC's New AI Task Force · 26 min · Season 1 Episode 95Is 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…
- SEC Roundup 94: 4 Big Cases to Watch in 2026 · 47 min · Season 1 Episode 94Host 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…
- SEC Roundup 93: Is the SEC’s Penalty System Broken? · 20 min · Season 1 Episode 93How 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…
- SEC Roundup 92: Victimless Disgorgement? The SEC Seeks SCOTUS Endorsement · 17 min · Season 1 Episode 92The 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…
- SEC Roundup 91: SolarWinds vs. SEC: The "Abrupt Surrender" That Shocked the Industry · 34 min · Season 1 Episode 94The 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…
- SEC Roundup 90: Is Regulation by Enforcement Dead? Former SEC Economists explain the “Atkins Effect” · 15 min · Season 1 Episode 90Why 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…
- SEC Roundup 89: Weaponizing the PCAOB? Four Professors Expose the PCAOB's "Punitive" Enforcement and Broken Incentives · 26 min · Season 1 Episode 89What'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…
- SEC Roundup 88: Expanding Investor Choices - How Optional Semi-Annual Reporting & Arbitration Mandates Could Revitalize Public Markets · 22 min · Season 1 Episode 82Are 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.
- SEC Roundup 87: Day Traders vs. FINRA - The Fight to Reform the $25K PDT Rule · 24 min · Season 1 Episode 87Is 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…
