HeyJaredSEC 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.
- Indexed episodes, last 90 days
- 5
- Latest publication
- Sep 29, 2026
- Audience
- Checking…
- Earliest in this view
- Jul 8, 2026
Latest episodes
SEC Roundup Ep 104: Fix the Gate, Don't Shoot the Gatekeeper (opens the original)
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What happens when standard legal due diligence is treated as a securities violation? Today we sat down with New York immigration attorney and ICAN client Mona Shah. Mona recounts her three-year legal battle against the SEC, which charged her firm under Section 5 despite alleging zero fraud or investor harm. The panel explores how the Commission overlooked extensive EB-5 investor documentation, the devastating human toll on immigrant families, and the chilling message sent to boutique law firms f
SEC Roundup Ep 103: The Delisting Cliff – How Nasdaq's $5M Rule Threatens Small Public Companies (opens the original)
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With the SEC's approval of Nasdaq's new $5 million listing rule now frozen, the fight over small-company delisting is wide open. In Episode 103 of SEC Roundup, we welcome Small Public Company Coalition president Marc Indeglia and former SEC Chief Economist Professor Craig Lewis to explain the "delisting cliff." Nasdaq's rule would suspend any company that spends 30 days below $5 million in market value — with no period to cure the problem and no pause on trading while it appeals. Professor Lewis
SEC Roundup Ep 102: Regulation by Delay - How the SEC has Weaponized the Wells Process (opens the original)
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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 critical flaw in SEC enforcement: "Regulation by Delay". They examine how unelected regional staff use post-Wells notice stalls, endless subpoenas, and tolling agreements to hold businesses in perpetual limbo—killing capital formation, M&A deals, and exe
SEC Roundup 101: The SEC's Narrow Supreme Court Win—A Single Battle in a War to Come (opens the original)
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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 at Compass Lexecon, to expose the massive legal loopholes left entirely unanswered by in SEC v. Sripetch . From a staggering $5.2 billion in penalties sitting in the U.S. Treasury to the breakdown of tracking "insider trading victims," find out wh
100 Episodes Later—ICAN’s Top 5 Showdowns Against SEC Overreach (opens the original)
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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 sue a piece of computer code, this episode is a masterclass in holding regulators accountable. Investor Choice Advocates Network (ICAN Law) is the only nonprofit public-interest litigation firm in the country focused exclusively on reining in SEC o
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