Concurrent Session (Onsite and Online)

BAN2107. SEC Updates from Corporation Finance, Enforcement, & OCA

The Division of Corporation Finance (Corp Fin), Enforcement and the OCA have been active on many fronts this past year. Join this session for developments and priorities of Corp Fin, Enforcement and the OCA regarding banking and registrant matters.


Learning Objectives:

  • Assess filing review observations, including those relating to COVID-19, CECL and banking specific responses
  • Analyze rule-making initiatives
  • Identify matters regarding division monitoring and activities
Date/Time
Sep 20
4:15 PM–5:30 PM
CPE Credits
1.5
NASBA Field of Study
Accounting
Level
Intermediate
Prerequisites
3-5 years in the profession
Advanced Preparation
None
Session Tags
All Banks
Speakers
Image of Matthew Jacques

Matthew Jacques

CPA
Chief Accountant - Enforcement Division
U.S. SEC
Image of Kevin Vaughn

Kevin Vaughn

CPA
Senior Associate Chief Accountant
U.S. Securities & Exchange Commission
Image of Stephanie Sullivan

Stephanie Sullivan

CPA
Associate Chief Accountant
U.S. Securities and Exchange Commission