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 perspective on the critical balance between effective regulation and market freedom.

SEC Roundup is a news podcast hosted by ICAN, with 26 episodes on record and a Required Pod Score of 80. PitchCentric scores this show on Booking Probability, Listen Score, and live audience signals refreshed every 24 hours.

ICAN hosts SEC Roundup, a news show with 26 episodes published.

Our AI reads these to draft pitches. Use them as grounding for a pitch that cites a real guest and a specific topic.

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  Episode #103

  SEC Roundup Ep 103: The Delisting Cliff – How Nasdaq's $5M Rule Threatens Small Public Companies

  Aug 14, 202640 minS1

  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 reviewed 20 years of data: of the companies the rule would have cut, 78% later recovered. The Coalition has petitioned the SEC to set it aside. Investor Choice Advocates Network (ICAN Law) is the only nonprofit public-interest litigation firm in the country focused exclusively on reining in SEC overreach and expanding fair access to capital markets. Be part of a movement to protect innovation and opportunity in American markets while preserving essential investor protections—join our email list today: https://www.icanlaw.org/newsletter-signup

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  Episode #95

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

  Jul 23, 202624 minS1

  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 executive hiring even when no investor losses exist. The team breaks down recent updates to the Enforcement Manual, why staff routinely bypass Dodd-Frank Section 929U’s 180-day mandate, and how the public can submit formal comments to demand true enforcement reform. Investor Choice Advocates Network (ICAN Law) is the only nonprofit public-interest litigation firm in the country focused exclusively on reining in SEC overreach and expanding fair access to capital markets. Be part of a movement to protect innovation and opportunity in American markets while preserving essential investor protections—join our email list today: https://www.icanlaw.org/newsletter-signup

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  Episode #101

  SEC Roundup 101: The SEC's Narrow Supreme Court Win—A Single Battle in a War to Come

  Jul 10, 202620 minS1

  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 why disgorgement is heading straight back into a legal firestorm. Investor Choice Advocates Network (ICAN Law) is the only nonprofit public-interest litigation firm in the country focused exclusively on reining in SEC overreach and expanding fair access to capital markets. Be part of a movement to protect innovation and opportunity in American markets while preserving essential investor protections—join our email list today: https://www.icanlaw.org/newsletter-signup

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  Episode #100

  100 Episodes Later—ICAN’s Top 5 Showdowns Against SEC Overreach

  Jul 7, 202617 minS1

  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 overreach and expanding fair access to capital markets. Be part of a movement to protect innovation and opportunity in American markets while preserving essential investor protections—join our email list today: https://www.icanlaw.org/newsletter-signup

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  Episode #99

  SEC Roundup 99: Regulatory Capture or Power to the People—What do SEC rule comment letters tell us?

  Jun 10, 202625 minS1

  <p>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 65,000 public comment letters, their groundbreaking data reveals whether corporate lobbyists or retail investors have the upper hand—and exposes surprising truths about how the agency functions across political administrations.</p>

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