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PODCAST

SEC Roundup

SEC Roundup brings you inside conversations with securities law experts, former regulators, and industry leaders to examine the real-world impacts of SEC enforcement actions and rulemaking. Hosted by ICAN"s Nicolas Morgan and Thomas Zaccaro, both former SEC enforcement attorneys, this series cuts through legal jargon to provide clear analysis of how SEC policies affect everyday investors and entrepreneurs. From landmark court decisions to regulatory developments, SEC Roundup delivers expert

news business news

All Episodes

00:25:38

SEC Roundup 89: Weaponizing the PCAOB? Four...

SEC Roundup ·

2025/10/30

What's it like to get a permanent "scarlet letter" from the PCAOB? Tom Zaccaro and Nick Morgan host four professors whose new paper, based on candid interviews with former staff and sanctioned auditors, reveals a "punitive" system. They expose how a "numbers game" incentive structure is failing to protect investors and disproportionately targets small firms.

en

00:24:20

SEC Roundup 87: Day Traders vs. FINRA - The Fight to...

SEC Roundup ·

2025/09/29

Is FINRA protecting day traders and new investors—or setting them up to fail? Ross Cameron, the founder of Warrior Trading, joins Tom and Nick to explain why the $25K PDT rule backfires, how it pushes new traders into riskier waters, and what smart reform could look like.Click the link to help ICAN advocate for swift action on PDT Reform: https://www.icanlaw.org/pdt-reform-signup

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00:19:17

SEC Roundup 86: Meme Stocks, Free Speech, and Market...

SEC Roundup ·

2025/09/17

Howard Lindzon, CEO of Stocktwits, joins Nick Morgan and Jennifer Schulp to discuss the rise of meme stocks and the enduring power of retail investors. What does the movement reveal about market behavior — and how should regulators respond?

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00:11:35

SEC Roundup 85: The a16z Policy Proposal That Could...

SEC Roundup ·

2025/08/26

Miles Jennings, General Counsel at Andreessen Horowitz, joins Nick Morgan and Rodrigo Cerra to discuss a bold new proposal submitted to the SEC—a safe harbor that could finally bring clarity to crypto entrepreneurs navigating outdated broker-dealer rules.

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00:15:55

SEC Roundup 84: Cracks in the CAT — Court Rules...

SEC Roundup ·

2025/07/30

The SEC’s Consolidated Audit Trail (CAT) just suffered a major legal blow. ICAN’s Nick Morgan is joined by Jennifer Schulp—frequent SEC Roundup co-host and Cato Institute financial regulation expert—along with ASA CEO Chris Iacovella, to unpack the 11th Circuit’s rebuke of the CAT’s funding model and what it means for investor privacy, surveillance, and SEC overreach.

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00:41:56

SEC Roundup 83: SEC Staff Gone Rogue—Federal Action...

SEC Roundup ·

2025/06/20

Despite three Supreme Court rulings questioning its administrative power—and a new Commission leadership in place—the SEC’s Enforcement Division went to federal court without even informing the Commission. Russ Ryan returns to expose this unauthorized action, what it means for due process, and why internal oversight at the SEC may be more broken than ever.

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00:15:08

SEC Roundup 82: No Harm, Big Money! Is the SEC...

SEC Roundup ·

2025/05/30

What if the SEC could take millions—even when no one lost a dime? Appellate expert Igor Timofeyev joins co-hosts Nick Morgan and Tom Zaccaro to break down a key Supreme Court petition and a growing court split over disgorgement. The outcome could reshape SEC enforcement for years to come.

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00:27:12

SEC Roundup 81: Crypto Clarity at the SEC—New...

SEC Roundup ·

2025/04/29

Former SEC Commissioner Troy Paredes and Cooley special counsel Rodrigo Seira join ICAN’s Nick Morgan to discuss the SEC’s evolving approach to regulating crypto. Hear how the agency is shifting from enforcement to engagement—and why a principles-based strategy could finally deliver real crypto clarity.

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00:22:57

SEC Roundup 80: Challenging the SEC’s Silent...

SEC Roundup ·

2025/04/23

Dr. Thomas Powell joins ICAN co-founder Nick Morgan and Mark Hiraide to share how a 2021 SEC settlement turned into a years-long professional purgatory. They discuss the reality of SEC industry bars, the collateral damage they cause, and the constitutional issues raised by “neither admit nor deny” settlements. Powell’s case, now in the Ninth Circuit, could have major implications for how the SEC handles administrative sanctions.

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00:15:18

SEC Roundup 79: SEC Backs Off Dealer Rule, But Legal...

SEC Roundup ·

2025/03/27

The SEC’s dealer rule was struck down in federal court, and the agency has withdrawn its appeal (and apparently backed off of other ongoing litigation)—but the legal battle over the definition of a securities dealer isn’t over. 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

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