inSecurities

Capitalism, Democracy and Innovation: Robinhood Continues to Change the Game

Robinhood is on a mission to “democratize finance for all.” Chris & Kurt sit down with Robinhood’s Deputy General Counsel, Lucas Moskowitz, to talk about Robinhood’s mission, how 2021 changed Robinhood – and the markets – for good, and what regulatory changes Robinhood spies on the horizon. They also have fun with some Robin Hood trivia.

Investigative Journalism, Securities Markets, and Succession with Jesse Eisinger

Chris and Kurt sit down with Jesse Eisinger, senior editor at ProPublica, Pulitzer Prize-winning journalist covering the financial markets and the 2008 financial crisis, and author of The Chickenshit Club: Why the Justice Department Fails to Prosecute Executives (2017). Their conversation focuses on reporting in the securities markets, his prophetic (and award-winning) writing about the fall of the housing market and its impacts, and his recent work as a consultant on the hit HBO show Succession.

 

Links for shownotes:

• “The Giant Pool of Money,” This American Life, https://www.thisamericanlife.org/355/the-giant-pool-of-money
• “You May Be Paying a Higher Tax Rate Than a Billionaire,” ProPublica, https://www.propublica.org/article/you-may-be-paying-a-higher-tax-rate-than-a-billionaire
• The Chickenshit Club: Why the Justice Department Fails to Prosecute Executives, www.amazon.com/Chickenshit-Club-Department-Prosecute-Executives/dp/1501121367   

 

Cheers! Regulatory Resolutions & More at the inSecurities NYE Party

Ring in the New Year with inSecurities! Guests on the inSecurities podcast keep listeners current on the latest securities regulatory and enforcement developments. On this special New Year’s Eve episode of the podcast, Chris and Kurt visit with past guests at a virtual cocktail party, including SEC Commissioner Hester Peirce, Jane Norberg, and professors Daniel Taylor, James Tierney, J.W. Verret, and Karen Woody. Tune in to learn how the regulatory landscape is changing, and hear our guests’ 2022 securities regulatory resolutions. Cheers! 

2:30 – Dan Taylor  

11:00 – Hester Peirce 

19:20 – Karen Woody 

26:55 – James Tierney   

38:00 – Jane Norberg 

45:06 – JW Verret 

https://www.pli.edu/insecurities 

Focus on FINRA Enforcement with Jessica Hopper

In this episode of the inSecurities podcast, Chris and Kurt sit down with FINRA Head of Enforcement Jessica Hopper to talk about the role of FINRA Enforcement and several of FINRA’s enforcement priorities – including “finfluencers,” cybersecurity, and complex products – and then bust a few myths about FINRA Enforcement.

Tune in to this episode of FINRA’s own podcast, Unscripted, to hear more from Jessica: https://www.finra.org/media-center/finra-unscripted/enforcement-jessica-hopper-introduction

https://www.pli.edu/insecurities 

 

Full Disclosure: Commissioner Lee on Private Markets and ESG

SEC Commissioner Allison Herren Lee sits down with Chris & Kurt to share her views on how the Commission might enhance investor protection and increase transparency in private markets and update the ESG disclosure regime to meet the needs and demands of investors . . . along with the benefits of “beautiful accounting footnotes.”  

Be sure to read Commissioner Lee’s recent speech, “Going Dark: The Growth of Private Markets and the Impact on Investors and the Economy,” available here: https://www.sec.gov/news/speech/lee-sec-speaks-2021-10-12 

https://www.pli.edu/insecurities

 

 

Special Episode: The 2021 SEC Enforcement “Report”

The SEC’s Division of Enforcement just released its enforcement results for FY2021. On this special episode, Chris and Kurt break down the results with Quinn Emanuel partner, Sarah Heaton Concannon.

https://www.pli.edu/insecurities

Play It Again: An Expert’s Take on Gamification & Stock Trading

Nebraska College of Law Professor James F. Tierney explains how many apps incorporate design features — sometimes called “gamification” — to influence investor behavior. Professor Tierney also explores with Chris & Kurt some of the regulatory and policy implications of those design features. 

https://www.pli.edu/insecurities

 

 

Bonus Episode: ACFE Fraud Talk

As a bonus feature, we are sharing an episode of the ACFE’s Fraud Talk podcast entitled “Understanding the Art and “Science” of the Theranos Saga,” on which our very own Chris Ekimoff appeared as a special guest. On the episode, released during International Fraud Awareness Week, Chris and Mandy Moody, CFE, ACFE communications manager, discuss the latest from the trial of former Theranos CEO Elizabeth Holmes.

https://www.pli.edu/insecurities

The SEC GameStop Report: An Expert’s Take

In October, the SEC released its long anticipated “GameStop Report.” Ty Gellasch, a market plumbing expert and Executive Director of Healthy Markets, gives Chris & Kurt his take on the report.

Four Big Things from The SEC Speaks in 2021

The securities regulatory and enforcement world was buzzing after PLI’s annual SEC Speaks program. From ESG to SPACs, and from “gamification” to corporate penalties, the conference hit all the hot topics. On this episode of inSecurities, Chris & Kurt share their “Four Big Things” to take away from The SEC Speaks in 2021:  Requiring admissions in SEC enforcement actions; zero tolerance for auditor independence violations; regulating the robo-advisors; and cryptocurrency in the Wild West. 

Watch SEC Speaks On-Demand at https://pli.edu/programs/SECspeaks