inSecurities

There’s so much to learn at PLI’s 53rd Annual Institute on Securities Regulation! Chris and Kurt sit down with program Co-Chairs Meredith Cross of WilmerHale, Keir Gumbs of Broadridge Financial Solutions, and Carmen Lawrence of King & Spalding to hear what the program has to offer.  Please visit https://www.pli.edu/insecurities for more information.

Whistleblower tips are streaming into the SEC, so it’s critically important for companies to develop effective parallel internal reporting systems. Jane Norberg, a partner at Arnold & Porter who previously served as the Chief of the SEC’s Whistleblower Office, chats with Chris and Kurt about the state of the SEC’s whistleblower program and how companies should encourage, triage and investigate whistleblower tips. Link to podcast page on PLI.edu  

It’s time to rethink securities law, argues SMU Dedman School of Law Professor Marc Steinberg in his latest book Rethinking Securities Law. There are “many deficiencies and inconsistencies in the current regimen,” he says. Chris and Kurt sit down with Professor Steinberg to discuss his recommendations. Learn more about the book, or purchase online, at via Oxford University Press: https://global.oup.com/academic/product/rethinking-securities-law-9780197583142?cc=us&lang=en&

Chris & Kurt sit down with George Wilson, Director of PLI’s SEC Institute (SECI), to talk about SEC Chair Gary Gensler’s regulatory agenda and priorities, including ESG and other accounting and disclosure hot topics featured in the forthcoming SECI Quarterly Newsletter.  Link to episode page on PLI.edu https://www.pli.edu/insecurities

We’d like to share an episode from PLI’s sister podcast, Pursuing Justice: The Pro Bono Files. Listen as host Alicia Aiken is joined by Indiana pro bono stakeholders Charles R. Dunlap, Judge Melissa S. May, Kelly Tautges and Scott Wylie for an important conversation: “Turning Crisis Into Opportunity.”  Running a pro bono program costs money ‒ and Indiana’s statewide legal services program faced a serious financial challenge. Find out how these Indiana pro bono stakeholders pulled together and, with a law firm’s help, turned a financial crisis into an opportunity. 

Chris & Kurt chat with Wes Bricker, a former Chief Accountant at the SEC and current Vice Chair and Co-Leader of US Trust Solutions at PwC, about how the SEC’s Office of the Chief Accountant works, perennial accounting hot topics, and emerging issues relating to meme stocks, SPACs and ESG disclosures.

Everyone’s talking about SPACs – and not just in the securities reg world! This week on inSecurities, we dive into special purpose acquisition companies, or “SPACs,” to figure out what they are, how they work, and what they mean for investors and startups looking for a quick route to “go public. | Please take a moment to fill out our listener survey! Episode page on PLI.edu can be found here

Happy Fourth of July from inSecurities! In this episode, Chris & Kurt reflect on several milestones (including crossing the 10,000 downloads mark!), how the COVID-19 pandemic has changed our lives and practices, and some of our favorite inSecurities guests and episodes.   Love the inSecurities podcast? Don’t forget to rate and review the podcast on Apple Podcasts, or wherever you listen to podcasts. And please take a moment to fill out our new listener survey! ----more---- Link to podcast page on PLI.edu Link to listener survey

Many are eager to see how the SEC will approach investment adviser/broker-dealer regulation and enforcement in the Biden Administration. On this episode of inSecurities, SEC Commissioner Caroline Crenshaw shares her views on how the Commission’s investor protection mission guides her approach to Regulation Best Interest, enforcement, and setting corporate penalties. The Commissioner also offers some thoughts on cybersecurity and showtunes to round out the conversation.

Kurt chats with Cliff Kirsch of Eversheds Sutherland about the benefits of PLI’s investment adviser and broker-dealer resources, and about Cliff’s many contributions to PLI programs and publications, including the upcoming live webcast Securities Law and Practice 2021: How the SEC Works on June 28.  ----more---- Link to PLI's Broker Dealer Blog Link to product details page for Securities Law and Practice 2021: How the SEC Works Link to Cliff Kirsch's PLI Biography and Associated Items