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SEC Roundup
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SEC Roundup

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Episodes (25)

  • SEC Roundup Ep 102: Regulation by Delay - How the SEC has Weaponized the Wells Process

    Jul 23, 2026 — With the SEC currently soliciting public feedback on its Draft Strategic Plan (FY 2026–2030), the window to reform regulatory overreach is wide open. In Episode 102 of SEC Roundup, we welcome securities attorney Kimble Charles Cannon to expose a...

    No transcript available.

    SEC Roundup Ep 102: Regulation by Delay - How the SEC has Weaponized the Wells Process
  • SEC Roundup 101: The SEC's Narrow Supreme Court Win—A Single Battle in a War to Come

    Jul 10, 2026 — The Supreme Court just handed the SEC a unanimous victory in a high-stakes disgorgement case—but is it actually an empty win? Co-hosts Nick Morgan and Tom Zaccaro sit down with former SEC economic assistant director Erin Smith, Executive Vice President...

    No transcript available.

    SEC Roundup 101: The SEC's Narrow Supreme Court Win—A Single Battle in a War to Come
  • 100 Episodes Later—ICAN’s Top 5 Showdowns Against SEC Overreach

    Jul 08, 2026 — For the 100th episode of SEC Roundup, we count down the top 5 most critical legal battles in the history of the show. From submitting landmark amicus briefs alongside Mark Cuban at the Supreme Court to defending clients when the SEC literally tried to...

    No transcript available.

    100 Episodes Later—ICAN’s Top 5 Showdowns Against SEC Overreach
  • SEC Roundup 99: Regulatory Capture or Power to the People—What do SEC rule comment letters tell us?

    Jun 10, 2026 — Who actually holds the power when the SEC writes the rules of Wall Street? Co-hosts Nick Morgan and Tom Zaccaro sit down with Dartmouth and University of Florida professors Gabriel Voelcker and Gabriel Pündrich. Using AI to analyze 30 years and over...

    No transcript available.

    SEC Roundup 99: Regulatory Capture or Power to the People—What do SEC rule comment letters tell us?
  • SEC Roundup 98: How the SEC Unlawfully Delayed a Case for Ten Years

    May 27, 2026 — What happens when the system designed to police Wall Street breaks down entirely? Co-hosts Nick Morgan and Tom Zaccaro welcome veteran trial counsel Bob Knuts to expose a stunning breakdown in administrative justice. They dissect the case of Lek...

    No transcript available.

    SEC Roundup 98: How the SEC Unlawfully Delayed a Case for Ten Years
  • SEC Roundup 97: Why Everyone is Suing the SEC

    May 08, 2026 — Why is the SEC suddenly facing a historic wave of lawsuits? Professor Amanda Rose joins us to discuss the "rational actor" shift in securities defense. From Supreme Court wins to the rise of pro-bono advocacy, discover why market participants are...

    No transcript available.

    SEC Roundup 97: Why Everyone is Suing the SEC
  • SEC Roundup 96: Inside the 2026 Enforcement Manual Updates

    Mar 12, 2026 — Is the SEC finally opening up? Co-hosts Nick Morgan and Tom Zaccaro welcome former SEC Associate Director Lori Echavarria to break down the first major update to the SEC Enforcement Manual in nearly ten years. From expanded Wells response times to the...

    No transcript available.

    SEC Roundup 96: Inside the 2026 Enforcement Manual Updates
  • SEC Roundup 95: Investigative Slop & Hallucinations—The Dark Side of the SEC's New AI Task Force

    Mar 06, 2026 — Is the SEC entering its "Moneyball" era? Co-hosts Nick Morgan and Tom Zaccaro sit down with Stan Yakoff, founder of RegLabs.ai, to discuss the infiltration of AI at the Commission. From the risk of "AI investigative slop" to the RegLab’s tools that...

    No transcript available.

    SEC Roundup 95: Investigative Slop & Hallucinations—The Dark Side of the SEC's New AI Task Force
  • SEC Roundup 94: 4 Big Cases to Watch in 2026

    Feb 13, 2026 — Host Nick Morgan and an expert panel break down the four most consequential SEC and financial cases of 2026. From the "Shadow Trading" appeal in the Ninth Circuit to a Supreme Court showdown over $5 billion in stuck funds, learn how these rulings will...

    No transcript available.

    SEC Roundup 94: 4 Big Cases to Watch in 2026
  • SEC Roundup 93: Is the SEC’s Penalty System Broken?

    Jan 29, 2026 — How does the SEC decide on civil penalties? According to our guests, it’s more arbitrary than you think. Former SEC attorney David Slovick and Vanderbilt law professor Phil Lieberman join to unpack their eye-opening research on inconsistent fines,...

    No transcript available.

    SEC Roundup 93: Is the SEC’s Penalty System Broken?
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