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Investor Choice Advocates Network
Registrace 15. 03. 2022
Capital Ideas 16: Joseph Abboud of nonprofit Dreamload Ventures
Hear how nonprofit Dreamload Ventures acts as an incubator and accelerator helping underrepresented entrepreneurs access capital markets.
zhlédnutí: 13
Video
SEC Roundup 68: NFT Artists Sue SEC
zhlédnutí 167Před měsícem
When Song-a-day-Mann Jonathan Mann created the non-fungible token, song and music video "I'm Suing the SEC," he meant it literally. Mann actually filed a lawsuit against the SEC seeking clarity regarding the SEC's jurisdiction over artistic NFTs. Mann is joined in the suit by co-plaintiff Brian Frye, a conceptual artist and law professor who produces digital art as well, often conceptual multim...
Capital Ideas 15: Brian Anderson from Raze on the Complementary Use of Tokenization and an ATS
zhlédnutí 16Před měsícem
Hear Raze's Brian Anderson as he describes how tokenization and partnership with an alternative trading system improve initial offerings and secondary market trading regardless of whether the starting point is a Reg D, Reg CF, or other offering.
SEC Roundup 67: Supreme Court Opinion and Criminal Trial Shake Up Insider Trading and 10b5-1 Plans
zhlédnutí 65Před měsícem
In this episode of SEC Roundup, Nick Morgan and Tom Zaccaro talk with guest Peter Altman, a former SEC enforcement attorney now a partner with Akin Gump. The discussion centers around SEC Rule 10b5-1 and its implications in light of recent enforcement actions and a Supreme Court decision. Peter provides an overview of a recent criminal insider trading verdict involving Rule 10b5-1. The DOJ rece...
SEC Roundup 66: Jarkesy and the Critical Importance of Juries in SEC Proceedings
zhlédnutí 123Před 2 měsíci
The Supreme Court's recent holding in SEC v Jarkesy ensures juries for defendants in many SEC proceedings, but hear from two notable people whose jury verdicts in their favor and against the SEC started the SEC's movement away from federal courts. After the SEC lost federal jury cases against Nelson Obus and Manouch Moshayedi in 2014, the then-director of the SEC said the SEC would expand its u...
Capital Ideas 14: Etan Butler of Dalmore Group on Adapting to Regulatory Complexity
zhlédnutí 31Před 2 měsíci
Hear from Etan Butler, Chairman of Dalmore Group, a FINRA registered national Broker-Dealer, founded in 2005. Dalmore is among the most active Broker-Dealers for Reg A offerings, recognizing that navigating the complex regulatory environment requires a network of service providers, including legal, marketing, and syndication specialists and sometimes alternative trading solutions.
SEC Roundup 65: SEC Hit With Lawsuit Over Texting Sweep
zhlédnutí 57Před 2 měsíci
Hear from American Securities Association president and CEO Chris Iacovella as he explains ASA's recent lawsuit filed against the SEC for information under the Freedom of Information Act concerning the SEC's eye-watering penalties against certain broker-dealers for purportedly failing to retain "off-channel" communications. The issue of how the SEC calculates penalties (particularly in the amou...
Capital Ideas 13: Jonathan Dunsmoor's Plan to Mint New Accredited Investors via Series 65
zhlédnutí 35Před 2 měsíci
The SEC's accredited investor definition with its high net worth and income thresholds keeps many people of ordinary means from accessing private securities offerings. Hear Jonathan Dunsmoor explain his novel idea to work around the high net worth and income requirements using FINRA's Series 65 exam and license.
Capital Ideas 12: Lou Kerner on Challenges Facing Web3/AI Incubators
zhlédnutí 13Před 3 měsíci
Capital Ideas 12: Lou Kerner on Challenges Facing Web3/AI Incubators
SEC Roundup 64: Court Adopts SEC's Expansive View of "Dealer"
zhlédnutí 59Před 3 měsíci
Hear Marc Indeglia, President of the Small Public Company Coalition, explain the ramifications of a federal court's recent adoption of the SEC's expansive view of what it means to be a securities "dealer." The 11th Circuit has now twice agreed with the SEC's position that registration is required for those who purchase convertible debt from public companies, convert into common stock, and sell ...
SEC Roundup 63: Repeal of SAB 121
zhlédnutí 59Před 3 měsíci
In an unprecedented move, both houses of Congress have voted on a bipartisan basis to repeal an SEC Staff Accounting Bulletin, SAB 121. SAB 121 required certain financial institutions that maintain custody of digital assets to hold those assets as liabilities on their balance sheets. Hear from Jorge Pesok, CLO of the HBAR Foundation, and John LaBella, partner at Alix Partners, as they discuss t...
SEC Roundup 62: Can the SEC Sue Computer Code?
zhlédnutí 110Před 4 měsíci
Can the SEC sue a piece of software? Investor Choice Advocates Network was proud to provide pro bono representation to PulseChain Foundation with excellent co-counsel Kayvan Sadeghi and Emily Mannheimer at Jenner & Block to challenge the unprecedented departure from the SEC's already expansive approach to crypto enforcement by naming as party defendants a blockchain token, a blockchain network,...
SEC Roundup 61: Securities Professionals Beware of Double Jeopardy SEC Proceedings
zhlédnutí 86Před 4 měsíci
Securities professionals beware. Following the conclusion of federal court litigation, the SEC may prosecute you a second time for the same conduct in a follow-on administrative proceeding seeking to bar you from your chosen profession. Hear from former SEC Enforcement Attorney and Assistant United States Attorney Keri Axel as she describes the problematic nature of these follow-on APs at a tim...
Capital Ideas 11: DealMaker CEO and Co-Founder Rebecca Kacaba
zhlédnutí 57Před 5 měsíci
Hear from DealMaker CEO and Co-Founder Rebecca Kacaba as she describes her experience leading one of North America's leaders in online capital raising using technology to facilitate equity crowdfunding. She discusses challenges, regulatory barriers, and opportunities for small investors and entrepreneurs alike.
SEC Roundup 60: Gail Bernstein of IAA and Art Zwickel of CalALTs on Court Test of SEC PFA Rules
zhlédnutí 160Před 5 měsíci
At the recent court hearing on the SEC's new private fund adviser rules, the 5th Circuit federal appellate court grilled the lawyers for the SEC and for challengers from AIMA and MFA. Hear from Gail Bernstein, General Counsel for the Investment Adviser Association and co-hosts Nick Morgan of ICAN and Art Zwickel of Paul Hastings and CalALTs regarding what's at stake and how the court's rulings ...
SEC Roundup 59: New SEC Dealer Rule Will Hit Private Funds
zhlédnutí 136Před 6 měsíci
SEC Roundup 59: New SEC Dealer Rule Will Hit Private Funds
Capital Ideas 10: Chris Nanda from Fundrise
zhlédnutí 85Před 7 měsíci
Capital Ideas 10: Chris Nanda from Fundrise
SEC Roundup 58: John Deaton on Coinbase and Binance Hearings
zhlédnutí 109Před 7 měsíci
SEC Roundup 58: John Deaton on Coinbase and Binance Hearings
Capital Ideas 9: Dar'shun Kendrick on the biggest challenges in capital raising
zhlédnutí 39Před 7 měsíci
Capital Ideas 9: Dar'shun Kendrick on the biggest challenges in capital raising
SEC Roundup 57: Judge Agrees with SIFMA, 1st Amendment Prohibits Compelled IA/BD ESG Speech
zhlédnutí 281Před 7 měsíci
SEC Roundup 57: Judge Agrees with SIFMA, 1st Amendment Prohibits Compelled IA/BD ESG Speech
SEC Roundup 56: Will the SEC Cyber Attack Rule have Companies Crying Wolf and Shouting Fire?
zhlédnutí 142Před 8 měsíci
SEC Roundup 56: Will the SEC Cyber Attack Rule have Companies Crying Wolf and Shouting Fire?
SEC Roundup 55: SEC Lied, Court Threatens Sanctions
zhlédnutí 213Před 9 měsíci
SEC Roundup 55: SEC Lied, Court Threatens Sanctions
Capital Ideas 8: Woodie Neiss, co-founder of Crowdfund Capital Advisors
zhlédnutí 32Před 9 měsíci
Capital Ideas 8: Woodie Neiss, co-founder of Crowdfund Capital Advisors
SEC Roundup 54: Enforcement Annual Results
zhlédnutí 110Před 9 měsíci
SEC Roundup 54: Enforcement Annual Results
SEC Roundup 53: Pop Culture and the SBF Trial
zhlédnutí 184Před 10 měsíci
SEC Roundup 53: Pop Culture and the SBF Trial
SEC Roundup 52: Should More IAs and BDs Fight the SEC?
zhlédnutí 184Před 11 měsíci
SEC Roundup 52: Should More IAs and BDs Fight the SEC?
Thoughtful sentiment and good observations as always!
Very happy about the scotus ruling! This was interesting, Thank you gentlemen.
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Awesome stream! PulseChain must prevail in court or this will affect ALL of crypto negatively =)
What's next - suing the cloud? Or the TCP protocol? Maybe the fiber networks carrying the pulsechain protocol as a complicit guilty party. In my 43 year and counting career in technology I have never heard of such legal lunacy. But then again consider the source. The SEC has and continues to inflict itself on technology without the talent it needs to review these technologies. The SEC has been behind the tech curve for a long while. And for the most part fintech was lumbering along. Then all of a sudden things started to change under their nose. Flash trading, flash crashes, sophisticated security breaches, blockchain, AI... The SEC didn't see the importance of impressing upon its funding source the need for highly talented technical staff. Instead in cases of cybersecurity it will cite NIST chapter and verse and make that the de facto standard by which an RIA must adhere without any guidance than "to read the NIST..." and if you don't comply we're going to prosecute. This behavior and that of the suit whose subject matter is the focus of this video is indicative of a regulatory body that is drowning in ignorance of its purvue.
Cool stream ty
Brent is tops in his specialty. Excellent conversation.
😌 'promosm'
people and companies lost money they put in to this scheme, it would be a failure of the system for SBF to not be convicted for converting his clients money from an investment in an exchange, to be converted to a private fund for his personal gain. this was fraud and theft of money SBF had an obligation to do only what he promised his investors how he would handle his clients money.
The fact that Lewis was sat with SBFs family in court explains much.
Thank you.
You're welcome!