Securities & Exchange Commission (SEC)
More Securities & Exchange Commission (SEC) Articles
Regulatory & Compliance
The Volcker Rule: What It Is And Its Impact On Business
Editor: Please tell us about your backgrounds and the activities of your practice groups at Jones Day. Dias: I am a partner in our Washington, DC office and co-leader of the firm’s Financial Institutions Litigation and Regulatory practice. Over the last 25 years, I have worked in a number...
Read MoreAccounting
More Than A Machine: “Robocop” Stole The Headlines, But The Financial Reporting And Audit Task Force Is The Real Driver Behind The SEC’s Refocus On Accounting Irregularities
On July 2, 2013, the United States Securities and Exchange Commission (the SEC) announced two new initiatives aimed at preventing and detecting improper or fraudulent financial reporting.[1] We previously noted that one of these initiatives, a computer-based tool called the Accounting Quality...
Read MoreSecurities & Exchange Commission (SEC)
SEC Provides Guidance On “Bad Actor” Disqualifications In Rule 506 Regulation D Offerings
On December 4, 2013, the staff of the Securities and Exchange Commission (the “SEC”) Division of Corporation Finance published additional guidance (the “Guidance”) on certain key issues with respect to the new “bad actor” provisions recently added to Regulation...
Read More