top of page

Podcasts, Newsletters, and More

The End of "Regulation by Enforcement": Why headline-grabbing cases related to crypto, "shadow trading," and expanding the "securities dealer" definition have vanished from the docket.

The End of "Regulation by Enforcement": Why headline-grabbing cases related to crypto, "shadow trading," and expanding the "securities dealer" definition have vanished from the docket.

SEC Roundup 90: Is Regulation by Enforcement Dead?

6 days ago0 min read

An enforcement action from the PCAOB is meant to protect investors, but what if it functions as a permanent "scarlet letter", destroying careers even after the sanction period is over? And what if the enforcers themselves are rewarded for "putting up numbers" rather than pursuing cases that actually protect the public?

An enforcement action from the PCAOB is meant to protect investors, but what if it functions as a permanent "scarlet letter", destroying careers even after the sanction period is over? And what if the enforcers themselves are rewarded for "putting up numbers" rather than pursuing cases that actually protect the public?

SEC Roundup 89: Weaponizing the PCAOB? Four Professors Expose the PCAOB's "Punitive" Enforcement

Nov 40 min read

Private market investing—real estate, startups, hedge funds—has long been a playground reserved for the ultra-wealthy. But what if there was a way to democratize that access without compromising compliance or security?

Private market investing—real estate, startups, hedge funds—has long been a playground reserved for the ultra-wealthy. But what if there was a way to democratize that access without compromising compliance or security?

Capital Ideas 34: Web3’s Gateway to Private Capital for Retail Investors

Oct 310 min read

SEC Roundup 88: Harvard Law Prof on Ending Quarterly Reports, Mandatory Arb

SEC Roundup 88: Harvard Law Prof on Ending Quarterly Reports, Mandatory Arb

SEC Roundup 88: Harvard Law Prof on Ending Quarterly Reports, Mandatory Arb

Oct 290 min read

Don Friedman, CEO of the Digital Assets Council of Financial Professionals (DACFP), breaks down why traditional advisor education has failed to keep pace—and how DACFP is stepping in to change that

Don Friedman, CEO of the Digital Assets Council of Financial Professionals (DACFP), breaks down why traditional advisor education has failed to keep pace—and how DACFP is stepping in to change that

Capital Ideas 33: Crypto-Qualified — The New Standard for Financial Advisors

Oct 131 min read

Ross Cameron, the founder of Warrior Trading, Discusses the Need to Reform FINRA's Pattern Day Trading Rule

Ross Cameron, the founder of Warrior Trading, Discusses the Need to Reform FINRA's Pattern Day Trading Rule

SEC Roundup 87: Day Traders vs. FINRA - The Fight to Reform the $25K PDT Rule

Oct 131 min read

Sales Employees Legal Issues

Sales Employees Legal Issues

The “SEC’s Retreat” Has Been Greatly Exaggerated and Misunderstood

Oct 95 min read

SEC Roundup 86: Stocktwits Founder on Meme Stocks

SEC Roundup 86: Stocktwits Founder on Meme Stocks

SEC Roundup 86: Stocktwits Founder on Meme Stocks

Oct 71 min read

Emily and Healthcare Shares

Emily and Healthcare Shares

Our new case highlights how the accredited investor definition tramples the right to pursue economic opportunity.

Sep 115 min read

Capital Ideas 32: Inflation, Regulation, and the Fight for America’s Small Businesses

Capital Ideas 32: Inflation, Regulation, and the Fight for America’s Small Businesses

Capital Ideas 32: Inflation, Regulation, and the Fight for America’s Small Businesses

Sep 101 min read

bottom of page