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After FINRA delay win, new cases raise concerns.

After FINRA delay win, new cases raise concerns.

ICAN Challenges FINRA Delays Again: Troubling Shadow Trading Ban Uncovered

5 days ago3 min read

ICAN’s Years-Long Effort Is Forcing a Supreme Court Showdown

ICAN’s Years-Long Effort Is Forcing a Supreme Court Showdown

ICAN’s Years-Long Effort Is Forcing a Supreme Court Showdown

Dec 30, 20253 min read

SEC Seeks Supreme Court Review of Victimless Disgorgement

SEC Seeks Supreme Court Review of Victimless Disgorgement

SEC Roundup 92: Victimless Disgorgement? The SEC Seeks SCOTUS Endorsement

Dec 19, 20251 min read

CISO overreach SEC SolarWinds

CISO overreach SEC SolarWinds

SEC Roundup 91: Regulatory Overreach Defeated -- How SolarWinds Dismantled the Flawed SEC Cyber-Fraud Case

Dec 16, 20251 min read

America’s Broken IPO Market vs. the AI Gold Rush

America’s Broken IPO Market vs. the AI Gold Rush

Capital Ideas 35: America’s Broken IPO Market vs. the AI Gold Rush

Dec 15, 20250 min read

SEC Litigation

SEC Litigation

The Ticker Tape: Issue 9

Nov 19, 20258 min read

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?

Nov 7, 20250 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 4, 20250 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 31, 20250 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 29, 20250 min read

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