inSecurities

The novel coronavirus known as COVID-19 has rapidly spread around the globe, causing a healthcare crisis, business disruptions, and extraordinary market volatility.  As regulatory authorities grapple with the appropriate responses to the COVID-19 pandemic, so do law firms, accounting firms and practitioners.    Recording from home, in this episode Chris and Kurt have an informal conversation about COVID-19 and its impact on their personal and professional lives.  Listen as they discuss some of the issues they're confronting: how they've adjusted their working styles and schedules, challenges from a practice development perspective, and some unexpected silver linings. Please note: CLE and CPE credit are not offered for listening to this podcast, and the views and opinions expressed within represent those of the speakers and not necessarily those of PLI.

Link to the podcast page on the PLI website.  PLI’s SEC Institute gathers and disseminates relevant SEC, PCAOB, FASB, and legal industry updates on a quarterly basis with the SEC Institute Newsletter. On this episode of inSecurities, Chris and Kurt discuss the most recent newsletter with George Wilson, Director of the SEC Institute, with a focus on new pronouncements regarding SEC Filings and Management’s Discussion & Analysis, Shareholder Proposal rulemaking, LIBOR transition, ESG disclosures, and a brief discussion of COVID-19 and its impact on the financial and legal world.  On this episode, Chris, Kurt and George talk a little bit about the regulatory response to the coronavirus (COVID-19) and how public companies should be thinking about related disclosures. We recognize that COVID-19 presents a novel and fluid situation, and there have been further developments since we recorded this episode. For the latest updates on the SEC’s coronavirus response, click here. And for the latest updates from FINRA, click here. Please note: CLE and CPE credit are not offered for listening to this podcast, and the views and opinions expressed within represent those of the speakers and not necessarily those of PLI.

On this episode of inSecurities, Kurt and Chris discuss whistleblower rules and the explosion of tips from whistleblowers to the SEC and other government agencies in recent years. Joining them on this episode is Matt Stock, a Washington D.C. attorney who represents whistleblowers before the SEC and other regulatory agencies. Please note: CLE and CPE credit are not offered for listening to this podcast, and the views and opinions expressed within represent those of the speakers and not necessarily those of PLI.

Equity market structure reform is largely a bipartisan issue. On this episode of inSecurities, Chris and Kurt take a look at the structure of our stock markets with two special guests, former SEC Commissioner Robert Jackson and George Mason Law Professor J.W. Verret.  Please note: CLE and CPE credit are not offered for listening to this podcast, and the views and opinions expressed within represent those of the speakers and not necessarily those of PLI.

This week on inSecurities we'll be doing the first of our 'Deep Dive' series, where we go in-depth on a single topic to give you an overall idea of what that topic is all about. In this episode, we take a look into the world of insider trading. Whether it's complex plans or simple ideas to trade against the market, insider trading impacts both the headlines and the securities markets across a variety of areas. Please note: CLE and CPE credit are not offered for listening to this podcast, and the views and opinions expressed within represent those of the speakers and not necessarily those of PLI.

The SEC’s OCIE and FINRA recently released their 2020 exam priorities. Today on the show, we’ll explore what the priorities tell us. Please note: CLE and CPE credit are not offered for listening to this podcast, and the views and opinions expressed within represent those of the speakers and not necessarily those of PLI.  

Kurt and Chris break down their top five securities, regulatory, and enforcement developments to expect in 2020, including blockbuster cases coming down the pike, SEC enforcement trends and more. Please note: CLE and CPE credit are not offered for listening to this podcast, and the views and opinions expressed within represent those of the speakers and not necessarily those of PLI.  

2019 was a remarkable year in the securities regulatory and enforcement space. In this episode of inSecurities we’ll break down record enforcement results, vigorous dissents to rulemaking packages and legislative fixes to thorny legal issues. Please note: CLE and CPE credit are not offered for listening to this podcast, and the views and opinions expressed within represent those of the speakers and not necessarily those of PLI.

Welcome to inSecurities, a new podcast from the Practising Law Institute. Hosted by Chris Ekimoff, a forensic accountant, and Kurt Wolfe, a securities regulatory attorney, inSecurities is an in-depth biweekly podcast showcasing practitioner perspectives on changes within the securities field. Chris and Kurt discuss how changes to the rules and regulations will affect your businesses or your clients while providing background from two separate but overlapping perspectives. In an increasingly complex business environment where intricate corporate structures reign, tune into inSecurities to help make sense of it all. Please note: CLE and CPE credit are not offered for listening to this podcast, and the views and opinions expressed within represent those of the speakers and not necessarily those of PLI.