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Dr. Jan Jindra and Dr. Adrienna Huffman, two former SEC financial economists now with the Brattle Group, dive into their new report, which analyzes the numbers behind the dramatic policy shift from the Gensler-led Commission to the new Atkins administration.

In this episode, hosts Tom Zaccaro and Nick Morgan are joined by four academic co-authors—Professors Eldar Maksymov, Phillip Lamoreaux, Nate Cannon, and Noah Myers—to discuss their new paper, "Is the PCAOB enforcement approach aligned with its mandate?". Based on in-depth interviews with 20 sanctioned auditors and 13 former PCAOB enforcement staff, they uncover a deeply flawed system perceived by outsiders and former insiders alike as "punitive" rather than protective.

Harvard Law Professor Hal Scott, Director of the Committee on Capital Markets Regulation, unpacks two of the most pressing debates shaping the future of U.S. public markets and why U.S. capital markets are shrinking—and what bold reforms might be needed to reverse the trend of companies avoiding or fleeing U.S. exchanges.

Ross Cameron, the founder of Warrior Trading, one of the most recognizable voices in the day trading world, with nearly 2 million YouTube subscribers tackles the long-standing—and long-criticized—Pattern Day Trading Rule from FINRA, which requires U.S. traders to keep $25,000 in their accounts to make more than three day trades in a five-day period, effectively encouraging overexposure and high-stakes trading—especially for those just starting out.

What do GameStop, Krispy Kreme, and Dogecoin have in common? They’ve all been rocket fuel for a generation of retail traders—and a source of anxiety for financial regulators. In this episode of SEC Roundup, Stocktwits founder and FinTwit pioneer Howard Lindzon joins Nick Morgan and frequent co-host Jennifer Schulp for a lively discussion on meme stocks, market culture, and the blurred line between entertainment and investing. Howard pulls no punches as he defends the joy of

Miles Jennings, Head of Policy and General Counsel at Andreessen Horowitz (a16z), breaks down a timely and impactful proposal for the SEC to provide a clear, actionable safe harbor for developers in the decentralized finance (DeFi) space.

Jennifer Schulp, director of financial regulation studies at the Cato Institute, and Chris Iacovella, CEO of the American Securities Association, break down what the court’s decision really means. Together, they discuss: How the CAT evolved from a post–Flash Crash idea into a sprawling surveillance regime Why the court struck down the SEC’s funding model as “arbitrary and capricious” The broader constitutional questions now looming over over CAT and SEC rulemaking.

Despite years of constitutional scrutiny over the SEC’s administrative proceedings—and the very clear line between the politically accountable Commission and the staff—it appears the Enforcement Division felt emboldened to go it alone.

If no one lost money, why is the SEC demanding $22 million in disgorgement? That’s the question at the center of Navellier & Associates v. SEC, a case now knocking on the door of the U.S. Supreme Court. Appellate litigator Igor Timofeyev of Paul Hastings unpacks the growing legal divide over how far the SEC can go in punishing conduct—even when investors walk away with profits.

The SEC's posture toward crypto is changing—and for the first time in years, there’s real engagement with the industry. In this episode, ICAN co-founder Nick Morgan is joined by Troy Paredes, former SEC Commissioner and founder of Paredes Strategies, and Rodrigo Seira, special counsel at Cooley and ICAN advisory board member, to discuss the agency’s evolving approach to regulating digital assets.

ICAN co-founder Nick Morgan and ICAN Senior Legal Director Mark Hiraide speak with Dr. Thomas J. Powell about his long road from settlement to silence in a story that highlights the lasting impact of SEC administrative bars.

ICAN co-founder Nick Morgan speaks with Daniel Austin and Suzan Rose from the Alternative Investment Management Association (AIMA) about how the SEC has used litigation to expand dealer obligations, what recent court decisions mean for the industry, and what could come next.

American Securities Association has challenged the constitutionality of the Municipal Securities Rulemaking Board.

Andrew Left's attorney Eric Rosen discusses petition seeking clear SEC rules on when investors can trade after publicly commenting on...

4.5-year legal battle that uncovered concerning issues with SEC staff's presentation of facts to the Commission for trading suspension.

Father-son investment advisory duo challenge potential lifetime industry bars through SEC administrative proceedings.

A groundbreaking DC Circuit decision against FINRA just rocked the financial regulatory landscape.

Hear subject matter experts discuss the SEC Enforcement Division's annual report and trends to watch in 2025.

Hear from Marisa Coppel, Head of Legal for Blockchain Association.

The SEC recently imposed nearly $7 million in penalties against four public companies that were customers of SolarWinds when it was hacked.