Podcast Episodes
Back to SearchEpisode 48: Can the President Fire the SEC Chair?
Episode 48
There is a presidential election happening right now, and regardless of your political views, if you’re listening to this, you probably like crypto. In fact, the election-related question I get most …
Published on 9 months, 3 weeks ago
Episode 47: The “Come in and Register” Fallacy
On my last episode, I went through a few common ill-conceived soundbites people wield against crypto generally and calmly explained why they’re a bunch of crap.
But there was one I didn’t touch last t…
Published on 10 months, 1 week ago
Episode 46: For the Crypto Skeptic
I keep hearing noise from talking heads denigrating and dismissing crypto with pithy ill-conceived soundbites. It’s the kind of thing you expect to hear from the Gary Genslers and Elizabeth Warrens o…
Published on 10 months, 3 weeks ago
Episode 45: Digital Asset Manager SEC Settlement
The digital asset fund manager community is up in arms about the SEC’s latest shenanigans against Galois Capital, and I’m here to tell you; so am I!
The SEC alleged three separate violations, and gave…
Published on 11 months, 2 weeks ago
Episode 44: Marketing Decks
An episode all about the glorious topic of marketing decks for private funds. Almost every fund has one. Almost every lawyer’s brain explodes when reviewing them. Tune in today to learn all about why…
Published on 11 months, 3 weeks ago
Episode 43: Pay-to-Play Rule
Quick hit today to remind investment advisers about the SEC’s pay-to-play rule; formally known as Advisers Act Rule 206(4)-5.
You may have heard that there’s a little election coming up here in Novem…
Published on 1 year ago
Episode 42: Form N-PX
Exciting times this month, as certain institutional investment managers are gifted a new regulatory filing requirement!
Key Points From This Episode:
What is Form N-PX?Who has to file it?What needs to…Published on 1 year ago
Episode 41: Supreme Court Smackdown
On back-to-back days in late June, the US Supreme Court issued two decisions that reasserted judicial primacy in statutory interpretation and dealt a blow to executive authority. The cases were SEC v…
Published on 1 year, 1 month ago
Episode 40: Florida Private Fund Exemption
Last summer, the Sunshine State passed into law a new private fund exemption for investment advisers operating in Florida. It went into effect on Oct 1 last year, and thus FL has belatedly joined the…
Published on 1 year, 1 month ago
Episode 39: SAB 121
Episode 39
It’s not everyday that I do a podcast episode about super technical banking rules. It’s also not every day that the president vetoes bipartisan legislation in an election year. But here we are….
Key …
Published on 1 year, 2 months ago