The SEC’s Approach to Rulemaking and Predictive Data Analytics

inSecurities

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All About Change

1
Jay Ruderman - How to Find Your Fight & Drive Social Change 32:17

5 dagen geleden32:17

Later Afspelen

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Vind ik leuk

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32:17

Jay is more than just the host of All About Change podcast. He is a lawyer and international activist, who has focused his life’s work on seeking social justice by advocating for the rights of people with disabilities worldwide. On the special episode of All About Change, Mijon Zulu, the managing producer of the "All About Change" podcast, is taking over hosting duties to interview Jay Ruderman about his new book, his activist journey, and why activism is even more important today. Episode Chapters (0:00) intro (02:38) How does one choose a cause to go after? (03:33) Jay’s path to activism (07:50) Practical steps a new activist can take (09:24) Confrontation vs trolling (17:36) Learning from activists operating in different sectors (19:20) Resilience in activism (22:24) Reflections on Find Your Fight and goodbye For video episodes, watch on www.youtube.com/@therudermanfamilyfoundation Stay in touch: X: @JayRuderman | @RudermanFdn LinkedIn: Jay Ruderman | Ruderman Family Foundation Instagram: All About Change Podcast | Ruderman Family Foundation To learn more about the podcast, visit https://allaboutchangepodcast.com/ Looking for more insights into the world of activism? Be sure to check out Jay’s brand new book, Find Your Fight , in which Jay teaches the next generation of activists and advocates how to step up and bring about lasting change. You can find Find Your Fight wherever you buy your books, and you can learn more about it at www.jayruderman.com .…

ongeveer een jaar geleden 48:30

MP3•Thuis aflevering

Brett Redfearn, a former Director of the SEC’s Division of Trading and Markets and the Founder and CEO of Panorama Financial Markets Advisory, joins the inSecurities podcast to discuss the Commission’s approach to rulemaking and its recent Predictive Data Analytics (PDA) rule proposal.

139 afleveringen

#News #Practising Law Institute

The SEC’s Approach to Rulemaking and Predictive Data Analytics

inSecurities

published ongeveer een jaar geleden

MP3•Thuis aflevering

139 afleveringen

#News #Practising Law Institute

Alle afleveringen

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Coming Full Circle – Five Years of inSecurities Comes to a Close 22:18

12 weeks geleden22:18

22:18

After five years and 138 episodes, Chris, Kurt, and PLI have decided to wind down the inSecurities podcast. On behalf of all of us on the inSecurities team, thanks for listening. We appreciate the dedicated listeners and guests who have shaped these conversations for five years! Every other week, we aimed to bring you insightful discussions with leaders and experts in securities regulation and enforcement, across a variety of topics and disciplines. We hope we’ve kept you both engaged and informed. Remember, PLI is here to keep you ever current with securities regulatory and enforcement developments — from our must-attend programs, including The SEC Speaks and the Securities Regulation Institute, to our timely One-Hour Briefings and publications. Visit pli.edu/securities to explore PLI’s robust collection of live and on-demand programs, and be sure to bookmark the SECI blog from frequent contributor George Wilson for updates on SEC reporting. We hope to see you at a future PLI program! As always, thanks for tuning in.…

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No looking back? What to expect in the next administration 57:20

15 weeks geleden57:20

57:20

We are fielding many questions about what regulatory and enforcement priorities will emerge in the next administration. On this episode of the inSecurities podcast, Chris and Kurt look back at several episodes from 2024 to see how they might help us understand what lies ahead. In particular, Chris and Kurt consider: What will become of the SEC? Will there be any changes in tone or priorities at the Commission level? And will there be any changes in tone or priorities for the Division of Enforcement?…

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A Director’s Take on the Annual Enforcement Results 52:21

17 weeks geleden52:21

52:21

Former SEC Director of Enforcement Gurbir Grewal joins the inSecurities podcast to discuss the Division of Enforcement’s Annual Results for Fiscal Year 2024. He delves into the enforcement priorities that are expected to continue into the next administration, as well as new priorities that may emerge. Additionally, Gurbir reflects on his legacy as the former Director of Enforcement.…

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Securities Enforcement Forum 2024 42:10

20 weeks geleden42:10

42:10

Chris and Kurt returned to Securities Docket's Securities Enforcement Forum to catch up on the latest developments and trends in the SEC enforcement space. On this episode of inSecurities they share key takeaways from a panel that focused on the impact of the Presidential election, a keynote address from Acting Director of Enforcement Sanjay Wadhwa, and more.…

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Upsetting Precedent: Adam Liptak on Administrative Agencies Law and SCOTUS 36:26

22 weeks geleden36:26

36:26

Adam Liptak, Supreme Court Reporter for the New York Times, joins the inSecurities Podcast to talk about recent SCOTUS decisions that impact the U.S. Securities and Exchange Commission and other administrative agencies, including a look at how the fall of Chevron will impact administrative agencies in the near term. Related CLE Program: You may also be interested in 26th Annual Supreme Court Review: October 2023 Term . This program is a must for anyone interested in the development of constitutional law and the decisions of the United States Supreme Court. Learn more, register and earn CLE credit.…

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Positively Ponzi With Kathy Phelps 59:28

24 weeks geleden59:28

59:28

We revisit a favorite topic here on the inSecurities podcast — Ponzi schemes — but with a practicing attorney and author who literally wrote the book on Ponzi: Kathy Phelps, partner at Raines Feldman Littrell LLP. Chris and Kurt discuss some of the more technical aspects of the law and accounting that come into play after a Ponzi scheme has collapsed, and the issues that result regarding recovery, equitable relief, and the claims process.…

1
SECI Quarterly Update With George Wilson 49:09

26 weeks geleden49:09

49:09

On this episode of the inSecurities podcast, Chris and Kurt visit again with George Wilson, Director of PLI’s SEC Institute, to discuss highlights from the SECI Quarterly Newsletter . George highlights key takeaways from PCAOB’s 2023 inspection reports, CorpFin’s statements on cybersecurity incident disclosures, litigation challenging the SEC’s climate-related disclosure rules, recent SEC whistleblower developments, and the decades-in-the-making completion of the so-called “conceptual framework.” Tune in to learn more, or go to pli.edu/programs/seci to explore all of the SEC Institute’s helpful content.…

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SEC’s Brat Summer – Current Events with Sandra Hanna 34:57

28 weeks geleden34:57

34:57

With Kurt absent this week, Chris discusses current developments at the SEC with Sandra Hanna, who leads the securities enforcement practice at Steptoe. They discuss the short term impacts of Jarkesy, how 102(e) actions are evolving in real-time, the state of ESG enforcement after the disbanding of the Task Force, and what the SEC might look like in 2025.…

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Quality Audits Protect People: A Conversation With PCAOB Chair Erica Williams 37:32

30 weeks geleden37:32

37:32

Chris and Kurt sit down with Erica Williams, Chair of the Public Company Accounting Oversight Board (PCAOB). Chair Williams talks about her journey to the Chair’s office, the PCAOB’s rulemaking agenda, and the role of PCAOB inspections and enforcement. She also shares key takeaways from the PCAOB’s Sign up for email updates on the inSecurities podcast as well as PLI’s securities related programs and publications…

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Special Crossover Episode With Pursuing Justice: Aiding Underserved Investors 53:59

32 weeks geleden53:59

53:59

In this special crossover episode with PLI’s Pursuing Justice podcast, hear about how pro bono clinics can help vulnerable investors protect their hard-earned retirement funds and nest eggs. Chris and Kurt are joined by Alicia Aiken, Director of the Danu Center’s Confidentiality Institute and host of PLI’s podcast Pursuing Justice: The Pro Bono Files , for an informative conversation with law professors, a recent law school grad, and an SEC attorney about their work aiding underserved retirees.…

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PLI’s “The SEC at 90” Program 28:46

34 weeks geleden28:46

28:46

On this episode of the inSecurities podcast, Chris and Kurt sit down with Cliff Kirsch, a partner at Eversheds Sutherland and Chair of the PLI program “The SEC at 90: A Celebration and Retrospective.” Cliff shares some of his key takeaways from this half-day PLI program aimed at celebrating the past, examining the present, and looking to the future of the SEC. Among other topics, Chris, Kurt, and Cliff discuss SEC Commissioner Peirce’s call for a retroactive look at rules on the books and a refocusing on the SEC’s core competencies. You can watch “The SEC at 90” on-demand on the PLI website: https://www.pli.edu/programs/the-sec-at-90?t=ondemand&tCode=GTZ4_ONDMD…

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Supreme Swipes at the SEC 59:48

36 weeks geleden59:48

59:48

On this episode of the inSecurities podcast, Chris and Kurt discuss recent U.S. Supreme Court decisions that will have profound impacts for the SEC and other agencies. First, our co-hosts discuss the Jarkesy case, which held that defendants in SEC enforcement proceedings have a Constitutional right to have fraud cases heard by a jury. Next, Chris and Kurt discuss Loper Bright , which overrules the decades-old Chevron doctrine, ending the presumption that courts must rely on agencies’ interpretations of ambiguous statutes.…

1
The Need for Arbitration Clinics 58:33

38 weeks geleden58:33

58:33

This episode of the inSecurities podcast features a roundtable with pro bono experts who discuss the need for law school clinics that represent retail investors in FINRA arbitrations. Nicole Iannarone, Associate Professor of Law at Drexel University Thomas R. Kline School of Law, and Christine Lazaro, Professor of Clinical Legal Education and Director of the Securities Arbitration Clinic at St. John’s University School of Law, join the podcast, along with Alicia Aiken, Director of the Danu Center’s Confidentiality Institute and host of PLI’s podcast Pursuing Justice: The Pro Bono Files , who steps in as a special guest co-host. Keep an eye out for a forthcoming episode of Pursuing Justice that will feature interviews with past clinic participants.…

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Gary Gensler: Leaning into Protecting the American Public 46:27

41 weeks geleden46:27

46:27

SEC Chair Gary Gensler joins the inSecurities podcast to talk about how he and the Commission engage with the public, his efforts to build trust in the US capital markets, and the role of the SEC in protecting investors. Chair Gensler also discusses the SEC’s role with respect to cryptocurrencies (or “digital asset securities”) and tells us why US investors should be wary of “AI washing.”…

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Educate and Activate: Successful Corporate Affairs Strategies 45:35

43 weeks geleden45:35

45:35

Erik Hotmire, Co-Founder of the consulting firm Watermark Strategies, joins the inSecurities podcast to discuss key characteristics of successful corporate affairs strategies. Erik tells Chris and Kurt how he draws on his experience as former spokesperson and Senior Advisor to the Chairman of the SEC in developing bespoke strategies for clients, and how the game has changed from a stakeholder engagement perspective.…

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