ESG Plan Fails to Protect Retail Investors: SEC Roundup
June 14, 2022The plan likely exceeds the SEC's authority, says Larry Cunningham, George Washington Law School professor of corporate governance.
Ex-SEC Chairman Says Private Fund Plan Goes Too Far: SEC Roundup
May 26, 2022"This proposal will be reviewed by the courts, there's no doubt," Harvey Pitt says.
Can Federal Courts Override SEC Enforcement Actions?: SEC Roundup
April 29, 2022Civil liberties lawyer Peggy Little discusses whether SEC defendants can challenge the SEC's hearing process in court.
Ex-SEC Commissioner Paredes on Regulating Crypto: SEC Roundup
March 25, 2022Troy Paredes discusses what's next in digital assets regulation with hosts Nick Morgan and Tom Zaccaro.
Don't Make These Costly D&O Insurance Mistakes: SEC Roundup
April 08, 2022Amy Jeter and Chris Crawford explain what to consider as the SEC proposes changes to insider trading plan requirements.
SEC Whistleblower Architect on the Problem With Frivolous Tips: SEC Roundup
March 09, 2022In this episode, Jordan Thomas weighs in on what, if anything, should be done about frivolous tips.
SEC's 'Accredited Investor' Update Could Bring Unintended Consequences — SEC Roundup
February 22, 2022Lawyers Nick Morgan and Tom Zaccaro talk to Brittany Davis of Backstage Capital about how the change could affect investors.