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  • Securities Regulation and Enforcement Series – Congress Puts the SROs Under the Microscope: SEC Oversight, Transparency, and Reform
    2026/03/18
    In this Season 3 episode, co-hosts Valerie Mirko, Partner at Armstrong Teasdale LLP and leader of the firm’s Securities Regulation and Litigation Practice, and William Nelson, Director of Public Policy and Associate General Counsel at the Investment Adviser Association, break down a timely set of regulatory and legislative developments shaping today’s securities landscape.The episode celebrates Valerie recently testifying before the House Financial Services Subcommittee on Capital Markets at the March 5, 2026 hearing titled The Role of Self-Regulatory Organizations in U.S. Markets: Examining FINRA and the MSRB. The hearing explored the governance, accountability, and enforcement practices of the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB), as well as broader questions about the effectiveness of the self-regulatory organization (SRO) framework. In her written testimony, Valerie outlined ten recommendations for reform, including strengthening SEC and board oversight of SRO governance, addressing fairness and due process concerns, eliminating inefficiencies and regulatory duplication, improving the SRO rulemaking process, and correcting weaknesses in FINRA’s arbitration system. Because SROs exercise significant delegated regulatory authority from the SEC, strong Commission oversight is essential to ensure accountability, transparency, and fairness in how that authority is exercised. In her oral testimony, Valerie specifically emphasized the importance of this delegated authority framework and the need for robust SEC oversight to ensure SROs remain accountable to the public interest. Valerie also spoke at length about due process and enforcement issues, as well as delegated authority in the securities industry. Valerie’s testimony builds on earlier thought leadership, including a white paper and supplemental letter she co-authored with Peter Chan on behalf of the Financial Services Institute recommending steps the SEC could take to prevent regulation by enforcement. Valerie and William also chat about some of the nuances of Congressional testimony generally and this hearing in particular. This episode is a must-listen for securities lawyers, compliance professionals, regulators, and anyone navigating today’s rapidly evolving regulatory landscape.Recent Past Episodes of this Series:Congress Puts the SEC Under the Microscope: Accountability, Due Process, and Reform (2/11/2026)⁠A Study in Contrasts: Innovation and Crypto versus the Crypto Fraud Landscape⁠ (1/21/2026)⁠⁠A Year of Change, Challenges, and What Comes Next⁠⁠ (12/17/2025)⁠⁠⁠When Washington Stops: What the 2025 Shutdown Means for the SEC and Congress Going Forward⁠⁠⁠ (11/19/2025)⁠⁠⁠⁠⁠The SEC’s New Direction: Enforcement and Governance in Focus⁠⁠⁠⁠⁠ (10/22/25) ⁠⁠⁠⁠⁠⁠From Memecoins to Custody: What Firms Need to Know About Crypto⁠⁠⁠⁠⁠⁠ (9/24/25)⁠⁠⁠⁠⁠⁠⁠Corp Fin in Flux: What the SEC’s Latest Moves Mean for Issuers and Investors⁠⁠⁠⁠⁠⁠⁠ (8/13/25)Please note, the positions and opinions expressed by the speakers are strictly their own, and do not necessarily represent the views of their employers, nor those of the D.C. Bar, its Board of Governors or co-sponsoring Communities and organizations.
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    25 分
  • Building AI Fluency with the ABA’s 21 Days of AI Grit and Growth Mindset Challenge
    2026/03/04

    Join Gabrielle Kohlmeier—ABA Commissioner on Women, ex-Verizon Global Head of Legal Innovation & Emerging Solutions, and a leading voice on responsible AI governance and adoption—and Tamara Kraljic, Counsel at Hughes Hubbard & Reed and a leader with the Women’s Bar Association of DC, for an International Women’s Day conversation on why we all need to be AI literate and how the ABA’s 21 Days of AI: A Grit and Growth Mindset Challenge helps move us forward.

    This episode explores why AI fluency is becoming essential for legal professionals (and everyone!), and how the ABA’s bite-sized daily practice Challenge helps lawyers build confidence using AI safely and thoughtfully—even in cautious or regulated environments. We also discuss why closing the gender gap in AI adoption matters: women need to be in that conversation not as a matter of symbolic inclusion but because the quality and equity of the outcomes depend on it.


    Please note, the positions and opinions expressed by the speakers are strictly their own, and do not necessarily represent the views of their employers, nor those of the D.C. Bar, its Board of Governors or co-sponsoring Communities and organizations.

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    44 分
  • Shadow Representatives, Senators, and Nonvoting Delegates: Oye Owolewa on D.C.’s Representation in Congress
    2026/02/18

    In this episode, Shadow Representative Oye Owolewa joins D.C. Affairs Community Co-Chair Angela Parsons to discuss the history of the District of Columbia Shadow Delegation, and explain how it differs from that of the District’s Congressional Delegate. He emphasizes how D.C.’s lack of full voting representation affects the District’s ability to control its budget, pass local laws, and exercise meaningful home rule. The conversation also explores the historical development of D.C.’s political status, the practical consequences of Congressional oversight, and what fuller representation could mean for governance in the nation’s capital. For attorneys, law students, and anyone interested in the intersection of constitutional structure and local autonomy, this episode offers a historical and substantive look at how representation shapes life in Washington, D.C.


    The D.C. Affairs Community is proud to present this podcast with a reminder that the history of D.C. is the history of our Nation.


    Please note, the positions and opinions expressed by the speakers are strictly their own, and do not necessarily represent the views of their employers, nor those of the D.C. Bar, its Board of Governors or co-sponsoring Communities and organizations. Participation in this podcast does not constitute endorsement of any candidate, campaign, or political position by the D.C. Bar or D.C. Bar Communities.

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    19 分
  • Securities Regulation and Enforcement Series – Congress Puts the SEC Under the Microscope: Accountability, Due Process, and Reform
    2026/02/11

    In this Season 3 episode, co-hosts Valerie Mirko, Partner at Armstrong Teasdale LLP and leader of the firm’s Securities Regulation and Litigation Practice, and William Nelson, Director of Public Policy and Associate General Counsel at the Investment Adviser Association, break down a timely set of regulatory and legislative developments shaping today’s securities landscape.


    The conversation begins with a recent House Financial Services Committee hearing, A New Day at the SEC: Restoring Accountability, Due Process, and Public Confidence, and why many in the industry have welcomed the hearing as an opportunity to reinforce transparency, accountability, and adherence to the SEC’s core mission - particularly in the Commission’s rulemaking and enforcement processes.


    Valerie and William also discuss the SEC’s recent January 30, 2026 statement on tokenization, highlighting how the Commission is thinking about the application of the federal securities laws to traditional asset classes as new technologies reshape market infrastructure. The episode wraps up with a look at FINRA’s rule modernization initiative, including a proposed update to the outside business activities rule, and how FINRA's efforts are aligning with broader SEC and congressional priorities.


    A must-listen for securities lawyers, compliance professionals, regulators, and others navigating a rapidly evolving regulatory environment.

    Recent Past Episodes of this Series:

    A Study in Contrasts: Innovation and Crypto versus the Crypto Fraud Landscape (1/21/2026)

    ⁠A Year of Change, Challenges, and What Comes Next⁠ (12/17/2025)

    ⁠⁠When Washington Stops: What the 2025 Shutdown Means for the SEC and Congress Going Forward⁠⁠ (11/19/2025)

    ⁠⁠⁠⁠The SEC’s New Direction: Enforcement and Governance in Focus⁠⁠⁠⁠ (10/22/25)

    ⁠⁠⁠⁠⁠From Memecoins to Custody: What Firms Need to Know About Crypto⁠⁠⁠⁠⁠ (9/24/25)

    ⁠⁠⁠⁠⁠⁠Corp Fin in Flux: What the SEC’s Latest Moves Mean for Issuers and Investors⁠⁠⁠⁠⁠⁠ (8/13/25)

    Please note, the positions and opinions expressed by the speakers are strictly their own, and do not necessarily represent the views of their employers, nor those of the D.C. Bar, its Board of Governors or co-sponsoring Communities and organizations.

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    28 分
  • Securities Regulation and Enforcement Series – A Study in Contrasts: Innovation and Crypto versus the Crypto Fraud Landscape
    2026/01/21

    In the Season 3 premiere, co-hosts Valerie Mirko, Partner at Armstrong Teasdale LLP and leader of the firm’s Securities Regulation and Litigation Practice, and William Nelson, Director of Public Policy and Associate General Counsel at the Investment Adviser Association, are joined by Caitlin Barnett, Director of Regulation & Compliance at Chainalysis for a timely, practical conversation on how crypto fraud is evolving - and what lawyers, regulators, and compliance professionals need to know now. This episode complements prior crypto episodes and addresses the misuse of innovation, which harms investors and erodes confidence in crypto and innovation.


    Drawing on Chainalysis’s frontline experience, Caitlin explains how crypto fraud has advanced, dispels common misconceptions, and breaks down how blockchain forensics works in practice—from spotting suspicious activity to tracing funds. The conversation then turns to regulatory and compliance implications, including where crypto fraud most directly intersects with securities law, common compliance gaps for regulated firms, and what it takes to move from on-chain activity to real-world attribution and recovery. The episode closes with a forward-looking discussion of emerging fraud techniques, with a particular focus on artificial intelligence.

    A must-listen for securities lawyers, compliance officers, regulators, and others navigating the rapidly evolving crypto enforcement landscape.


    Recent Past Episodes of this Series:

    A Year of Change, Challenges, and What Comes Next (12/17/2025)

    ⁠When Washington Stops: What the 2025 Shutdown Means for the SEC and Congress Going Forward⁠ (11/19/2025)

    ⁠⁠⁠The SEC’s New Direction: Enforcement and Governance in Focus⁠⁠⁠ (10/22/25)

    ⁠⁠⁠⁠From Memecoins to Custody: What Firms Need to Know About Crypto⁠⁠⁠⁠ (9/24/25)

    ⁠⁠⁠⁠⁠Corp Fin in Flux: What the SEC’s Latest Moves Mean for Issuers and Investors⁠⁠⁠⁠⁠ (8/13/25)

    ⁠⁠⁠⁠⁠⁠AI in the Investment Adviser Industry⁠⁠⁠⁠⁠⁠ (7/16/25)


    Please note, the positions and opinions expressed by the speakers are strictly their own, and do not necessarily represent the views of their employers, nor those of the D.C. Bar, its Board of Governors or co-sponsoring Communities and organizations.


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    31 分
  • Addressing Human Trafficking in the U.S. through Law and Policy
    2026/01/14

    Join the leadership of the D.C. Bar’s Human Rights and Immigration Subcommittee (part of the International Law Community) in a stimulating conversation with two leaders in the anti-human trafficking movement. This program is particularly timely at the 25-year mark of the criminalization of human trafficking under U.S. law. Additionally, during the past two decades, survivors have successfully held their traffickers accountable through filing action in district court (frequently with the assistance of pro bono attorneys) under a civil remedy provision. We hope that this program will motivate D.C. Bar members to serve as pro bono attorneys in this significant area of the law.


    Guests:

    Martina Vandenberg (President and Founder) and Evelyn Chumbow (Advocacy and Survivor Leadership Director) at the Human Trafficking Legal Center in Washington, D.C. Evelyn is a survivor of forced labor who was trafficked from Cameroon to the U.S. as a young child. She spent years in involuntary servitude in Maryland to a Cameroonian national, enduring treatment described by the Justice Department as “modern-day slavery.” Since 2015, Evelyn has served on the U.S. Advisory Council on Human Trafficking.


    Please note, the positions and opinions expressed by the speakers are strictly their own, and do not necessarily represent the views of their employers, nor those of the D.C. Bar, its Board of Governors or co-sponsoring Communities and organizations.

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    34 分
  • Securities Regulation and Enforcement Series - Season 2 Finale: A Year of Change, Challenges, and What Comes Next
    2025/12/17
    In the final episode of Season 2, Valerie Mirko, Partner at Armstrong Teasdale LLP and leader of the firm’s Securities Regulation and Litigation Practice, joins William Nelson, Director of Public Policy and Associate General Counsel at the Investment Adviser Association, to recap a truly momentous year - one that brought a new administration, a new SEC Chairman, and the longest government shutdown in history. Valerie and William reflect on key themes and conversations from throughout the season, revisiting episodes on digital assets, artificial intelligence, corporate governance, and SEC examination and enforcement priorities. They also look ahead to 2026, offering insights into what the next six to twelve months may hold for the regulatory and policy landscape. To close out the season, we extend a heartfelt thank-you to all our incredible guests, to the D.C. Bar, and to you - our listeners - for your support and for making this podcast possible.Past Episodes of this Series:When Washington Stops: What the 2025 Shutdown Means for the SEC and Congress Going Forward (11/19/2025)⁠⁠The SEC’s New Direction: Enforcement and Governance in Focus⁠⁠ (10/22/25) ⁠⁠⁠From Memecoins to Custody: What Firms Need to Know About Crypto⁠⁠⁠ (9/24/25)⁠⁠⁠⁠Corp Fin in Flux: What the SEC’s Latest Moves Mean for Issuers and Investors⁠⁠⁠⁠ (8/13/25)⁠⁠⁠⁠⁠AI in the Investment Adviser Industry⁠⁠⁠⁠⁠ (7/16/25) ⁠⁠⁠⁠⁠Harnessing AI: What Attorneys and Financial Industry Professionals Need to Know⁠⁠⁠⁠⁠ (6/18/25)⁠⁠⁠⁠⁠SEC Leadership, Crypto Policy, and FINRAs Regulatory Refresh⁠⁠⁠⁠⁠ (5/21/25)⁠⁠⁠⁠⁠New Leadership, New Priorities: Paul Atkins at the SEC⁠⁠⁠⁠⁠ (4/23/25)⁠⁠⁠⁠⁠How the New Administration and Congress Will Shape the SEC⁠⁠⁠⁠⁠ (3/26/25)⁠⁠⁠⁠⁠Reflecting on 30 years of the Private Securities Litigation Reform Act⁠⁠⁠⁠⁠ (2/26/25)⁠⁠⁠⁠⁠Insights on SEC Transition and Policy Priorities with Pete Driscoll⁠⁠⁠⁠⁠ (2/5/25)Please note, the positions and opinions expressed by the speakers are strictly their own, and do not necessarily represent the views of their employers, nor those of the D.C. Bar, its Board of Governors or co-sponsoring Communities and organizations.
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    37 分
  • The Plight of Political Prisoners
    2025/12/10

    Repressive regimes throughout the world are increasingly relying on political imprisonment to silence opposition and dissent. In this episode, Brian Tronic, Director of the Fred Hiatt Program to Free Political Prisoners at Freedom House, will discuss what a "political prisoner" is; the prevalence of political imprisonment and key countries of concern; common issues political prisoners face and violations they experience; and advocacy strategies for their release. He will be joined by Talia Khattak, the daughter of Pakistani political prisoner Idris Khattak, who will share her father's story and what it is like when a family member becomes a political prisoner.


    To learn more or get involved, email tronic@freedomhouse.org.


    Please note, the positions and opinions expressed by the speakers are strictly their own, and do not necessarily represent the views of their employers, nor those of the D.C. Bar, its Board of Governors or co-sponsoring Communities and organizations.

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    33 分