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Podcasts, Newsletters, and More

EB-5 immigration attorney Mona Shah, sued by the SEC over accredited investor verification, beside the text "Fixing the rule it's suing over" and "Accredited investor limits"

EB-5 immigration attorney Mona Shah, sued by the SEC over accredited investor verification, beside the text "Fixing the rule it's suing over" and "Accredited investor limits"

SEC Roundup Ep 104: Fix the Gate, Don't Shoot the Gatekeeper

Oct 70 min read

Rockefeller traces his journey from pioneering affinity-based Regulation A+ debt for veteran-owned businesses to building a modern "family operating system" designed to stop the natural breakdown of generational wealth. Along the way, he offers an insider's look at why regulatory barriers continue to push early-stage fintech away from everyday investors and into traditional Wall Street credit facilities.

Rockefeller traces his journey from pioneering affinity-based Regulation A+ debt for veteran-owned businesses to building a modern "family operating system" designed to stop the natural breakdown of generational wealth. Along the way, he offers an insider's look at why regulatory barriers continue to push early-stage fintech away from everyday investors and into traditional Wall Street credit facilities.

Capital Ideas 48: Reg A+ Pioneer Mark Rockefeller on Regulatory Overreach and the Future of Financial Advisors

Oct 50 min read

photo of courthouse

photo of courthouse

SEC Moves To Expand Credential-Based Accredited Investor Status—While Defending Arbitrary Wealth Requirement in Two Federal Courts

Sep 305 min read

SEC

SEC

So, SEC—which way is it?

Sep 237 min read

Our Law Clerk Believed the Casebook. A Year Later, He Doesn't.

Our Law Clerk Believed the Casebook. A Year Later, He Doesn't.

Our Law Clerk Believed the Casebook. A Year Later, He Doesn't.

Aug 317 min read

the SEC approved a new Nasdaq rule requiring listed companies to keep a market value of at least $5 million. Any company that stays below that line for 30 consecutive business days faces immediate suspension and delisting — with no cure period to fix the shortfall and no stay of trading while it appeals. It is the first automatic, no-cure, no-stay listing trigger the Commission has ever approved. One week later it was on hold: after the Small Public Company Coalition and Cemtrex moved to challenge the approval, it was automatically stayed, and on August 5 the Coalition petitioned the full Commission to throw it out.

the SEC approved a new Nasdaq rule requiring listed companies to keep a market value of at least $5 million. Any company that stays below that line for 30 consecutive business days faces immediate suspension and delisting — with no cure period to fix the shortfall and no stay of trading while it appeals. It is the first automatic, no-cure, no-stay listing trigger the Commission has ever approved. One week later it was on hold: after the Small Public Company Coalition and Cemtrex moved to challenge the approval, it was automatically stayed, and on August 5 the Coalition petitioned the full Commission to throw it out.

SEC Roundup Ep 103: The Delisting Cliff – How Nasdaq's $5M Rule Threatens Small Public Companies

Aug 270 min read

Tyrone Ross Jr. on Crypto’s Education Gap, the Trillion-Dollar IPO Problem, and Why Wealth Management Is Stuck

Tyrone Ross Jr. on Crypto’s Education Gap, the Trillion-Dollar IPO Problem, and Why Wealth Management Is Stuck

Capital Ideas 47: Why the Wealth Management Industry is Stuck in the Past

Aug 170 min read

Clarity Act Header

Clarity Act Header

The Clarity Act’s Clarity Problem

Aug 1413 min read

While a Wells notice is supposed to signal the conclusion of an investigation, many targets find themselves trapped in an open-ended "post-Wells limbo" where regional staff churn out subpoenas, request endless tolling agreements, and drag out cases for years without ever presenting them to Commission leadership.

While a Wells notice is supposed to signal the conclusion of an investigation, many targets find themselves trapped in an open-ended "post-Wells limbo" where regional staff churn out subpoenas, request endless tolling agreements, and drag out cases for years without ever presenting them to Commission leadership.

SEC Roundup 102: Regulation by Delay - How SEC Staff Weaponizes the Wells Process

Aug 130 min read

In this episode of Capital Ideas, we sit down with Darren Marble, the visionary behind Going Public, a streaming platform built around Regulation Crowdfunding and Regulation A+ offerings where viewers can invest in startups in real time. Marble breaks down the massive cultural shift of the modern "investumer" and explains why storytelling is actually the ultimate form of transparency and due diligence.

In this episode of Capital Ideas, we sit down with Darren Marble, the visionary behind Going Public, a streaming platform built around Regulation Crowdfunding and Regulation A+ offerings where viewers can invest in startups in real time. Marble breaks down the massive cultural shift of the modern "investumer" and explains why storytelling is actually the ultimate form of transparency and due diligence.

Capital Ideas 46: Going Public's Darren Marble on How Entertainment is Turning Audiences Into Owners

Jul 270 min read

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