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Podcasts, Newsletters, and More

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

On paper, the Supreme Court’s recent decision in SEC v. Sripetch looks like a total blowout for Wall Street's top regulator. The justices ruled unanimously that the SEC can pursue massive disgorgement penalties without having to explicitly prove investor or pecuniary harm. But as our guest Erin Smith points out in her recent groundbreaking analysis, this absolute victory might quickly evaporate into operational chaos.

On paper, the Supreme Court’s recent decision in SEC v. Sripetch looks like a total blowout for Wall Street's top regulator. The justices ruled unanimously that the SEC can pursue massive disgorgement penalties without having to explicitly prove investor or pecuniary harm. But as our guest Erin Smith points out in her recent groundbreaking analysis, this absolute victory might quickly evaporate into operational chaos.

SEC Roundup 101: The SEC's Narrow Supreme Court Win—A Single Battle in a War to Come

Jul 250 min read

Three stories the SEC would rather you never heard about...

Jul 144 min read

100 episodes. One ongoing fight to hold regulators accountable. To celebrate the 100th episode milestone of SEC Roundup, we look back at the top five most impactful, shocking, and high-stakes legal battles featured on the show—and exactly how the Investor Choice Advocates Network (ICAN) stepped into the ring to fight them.

100 episodes. One ongoing fight to hold regulators accountable. To celebrate the 100th episode milestone of SEC Roundup, we look back at the top five most impactful, shocking, and high-stakes legal battles featured on the show—and exactly how the Investor Choice Advocates Network (ICAN) stepped into the ring to fight them.

SEC Roundup 100: Top 5 Episodes of Thought Leadership

Jul 130 min read

a glimpse into how Franklin’s financial innovations helped shape the foundations of modern capital markets

a glimpse into how Franklin’s financial innovations helped shape the foundations of modern capital markets

Capital Ideas 45: Mark Skousen on Benjamin Franklin - Founding Father and Capital Markets Architect

Jul 50 min read

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