myCPE

SEC Overview: Regulations, Enforcement, and Corporate Compliance 1 Credit

Apr 09, 2025, 04:00 PM ET

SEC Overview: Regulations, Enforcement, and Corporate Compliance 1 Credit

  • Vijay Narwani

    CGMA , CPA , CISA

  • Rating

    4.3

  • Published on

    March, 2025

  • Subject Area

    Accounting

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Apr 09, 2025, 04:00 PM ET

Learning Objectives

  • Identify the SEC’s role in financial regulation and investor protection.
  • Explain the functions of the SEC’s five major divisions.
  • Recognize how SEC enforcement actions impact corporate compliance.
  • Analyze real-world cases of SEC investigations and regulatory actions.
  • Apply best practices for AML compliance, financial reporting, and risk mitigation.

Course Overview

The Securities and Exchange Commission (SEC) plays a critical role in maintaining fair and transparent financial markets. Established in response to the 1929 stock market crash, the SEC protects investors, enforces securities laws, and ensures businesses comply with financial disclosure regulations. However, how does the SEC operate, and what are its key responsibilities?

This course will explain the SEC’s mission and highlight its impact on corporate transparency, investor protection, and financial regulation. We’ll explore its five major divisions, from enforcement actions against fraud to regulating stock exchanges and financial advisors. Additionally, we will examine real-world case studies, including the Theranos fraud case, Coinbase’s crypto compliance challenges, and SolarWinds' cybersecurity enforcement.

We will also discuss how SEC regulations shape corporate governance, from ESG reporting and climate disclosures (e.g., Tesla and Deutsche Bank’s greenwashing penalties) to market integrity and trading practices like payment-for-order flow (PFOF). A key part of the SEC’s regulatory framework is Anti-Money Laundering (AML) enforcement. We’ll cover major AML cases, enforcement trends, and best practices for companies to strengthen their compliance frameworks and ensure they meet SEC and global financial crime prevention standards.

Major Topics:

  • SEC’s Mission and Objectives
  • Key Divisions and Functions
  • Corporate Compliance & SOX/FCPA/AML Regulations
  • Recent Enforcement Actions & ESG Oversight
  • Market Integrity, PFOF, and Cybersecurity Risks

Understanding the SEC is crucial for investors, financial professionals, and corporate leaders navigating the complexities of compliance and emerging financial regulations. This course will equip you with key insights into SEC oversight, corporate governance, and best practices for maintaining compliance.

On Demand Credits for All Qualifications

Live Webinar Credits for All Qualifications

License details Credits Status
Accounting for Certified Public Accountants (CPA-US) 1 CPE Approved
Financial Accounting for Certified Internal Auditors (CIA) 1 CPE Eligible
Financial Reporting for Certified Management Accountants (CMA) 1 CPE Eligible
Financial Statement Analysis for Chartered Financial Analyst (CFA) 1 PL Eligible
Accounting for Certified Fraud Examiner (CFE) 1 CPE Eligible
Accounting for Delaware Licensed Public Accountant (DE-LPA) 1 CPE Eligible
Financial Reporting for Certified Government Financial Manager (CGFM) 1 CPE Eligible
Auditing for Internal Audit Practitioner (IAP) 1 CPE Eligible
Financial Reporting for Certified Financial Forensics (CFF) 1 CPD Eligible
Financial accounting for Certified Valuation Analyst (CVA) 1 CPE Eligible
Auditing for Qualification in Internal Audit Leadership (QIAL) 1 CPE Eligible
Accounting for Iowa Licensed Public Accountant (IA-LPA) 1 CPE Eligible
Accounting for Maine Licensed Public Accountant (ME-LPA) 1 CPE Eligible
Financial Statement Analysis for CIPM 1 PL Eligible
Financial accounting for Certified Business Appraiser (CBA)/Master Certified Business Appraiser (MCBA) 1 CPE Eligible
Financial accounting concepts for Certified FP&A Professional (FP&A) 1 CE Eligible
License details Credits Status
Accounting for Certified Public Accountants (CPA-US) 1 CPE Approved
Financial Accounting for Certified Internal Auditors (CIA) 1 CPE Eligible
Accounting & Auditing for Certified Management Accountants (CMA) 1 CPE Eligible
Financial Statement Analysis for Chartered Financial Analyst (CFA) 1 PL Eligible
Accounting for Certified Fraud Examiner (CFE) 1 CPE Eligible
Accounting for Delaware Licensed Public Accountant (DE-LPA) 1 CPE Eligible
Financial Reporting for Certified Government Financial Manager (CGFM) 1 CPE Eligible
Internal Audit Practitioner (IAP) 1 CPE Eligible
Financial Reporting for Certified Financial Forensics (CFF) 1 CPD Eligible
Financial accounting for Certified Valuation Analyst (CVA) 1 CPE Eligible
Qualification in Internal Audit Leadership (QIAL) 1 CPE Eligible
Accounting for Iowa Licensed Public Accountant (IA-LPA) 1 CPE Eligible
Accounting for Maine Licensed Public Accountant (ME-LPA) 1 CPE Eligible
Financial Statement Analysis for CIPM 1 PL Eligible
Financial accounting for Certified Business Appraiser (CBA)/Master Certified Business Appraiser (MCBA) 1 CPE Eligible
Financial accounting concepts for Certified FP&A Professional (FP&A) 1 CE Eligible

Additional Information

Credit

1

Course Level

Basic

Instructional Method

QAS Self Study

Group Internet Based

Pre-requisites

None

Advance Preparation

None

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MY-CPE LLC (Sponsor Id#: 143597) is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors.

Check out CPA CPE Courses with MYCPE ONE, designed to streamline your professional development. We’ve got a wide variety of topics taught by industry pros, giving you the tools to easily meet your CPE requirements. With flexible scheduling and self-paced learning, you can ditch the old-school methods and focus on growing your career your way. Ready to level up? Start with us today!

About Instructor

Vijay Narwani
  • 4.4
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Vijay Narwani is a distinguished finance professional with over 20 years of experience in strategic financial management, compliance, and process optimization. He has navigated the complexities of finance in sectors like financial services, oil & gas, construction, and real estate. With certifications such as ACMA, CGMA, CPA, and CISA, Vijay brings a rich expertise in IAS/IFRS and global compliance, ensuring rigorous adherence to international standards. His proactive approach in leading financial strategies and education initiatives has not only enhanced business operations but has also inspired the next generation of finance professionals. Vijay's commitment to excellence and innovation in finance makes him a respected leader and an authoritative voice in the industry.

On Demand FAQs

What is Self Study (QAS)?

Self Study QAS (Quality Assurance Service) is a NASBA and other regulatory bodies approved program designed for Professionals to complete their Continuing Professional Education credits through self-paced, interactive courses that meet the highest standards of quality and compliance. We are approved by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other regulatory bodies.

How do I earn CPE credits through self-study?

To earn CPE credits, you must complete the self-study course, pass the required assessments, and submit the necessary documentation. Credits are awarded based on the completion of course hours and successfully passing the assessments.

Are the self-study courses approved by NASBA and other regulatory bodies?

Yes, all our self-study courses are approved by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other regulatory bodies, ensuring they meet the rigorous standards for quality and educational content set by these organizations.

What are the requirements to maintain compliance with self-study courses?

To maintain compliance, you must follow the guidelines set by NASBA and other regulatory bodies, which include completing the course within the specified timeframe, passing the assessments, and keeping accurate records of your learning activities.

How can I access my course completion certificates?

After successfully completing a self-study course and passing the assessments, you can access and download your course completion certificates from your account dashboard on our platform. These certificates are recognized by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other regulatory bodies for compliance and reporting purposes.

How are credits reported to governing bodies?

We issue instant credit certificates, ensuring they are valid for presentation to governing bodies. Typically, we report IRS, CTEC, CFP, IDFP, IWI, VBOA Ethics credits within 7 days – the fastest in the industry.

Live Webinar FAQs

What is a Live Webinar Group Internet-Based Credit?

A Live Webinar Group Internet-Based Credit is an interactive, real-time online seminar where professionals can earn Continuing Education credits by participating in live sessions led by experts in various fields. These sessions meet the standards set by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other regulatory bodies.

How do I earn credits through live webinars?

To earn credits, you must attend the entire live webinar, actively participate in any polls or questions, and complete any required evaluations or assessments. Credits are awarded based on your attendance and participation in the live session.

Are the live webinars approved by NASBA and other regulatory bodies?

Yes, all our live webinars are approved by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other regulatory bodies, ensuring they meet the high standards for quality, interactivity, and educational content set by these organizations.

What are the requirements to maintain compliance with live webinar courses?

To maintain compliance, you must adhere to the guidelines set by NASBA and other regulatory bodies, which include attending the full duration of the webinar, participating in interactive elements, and completing any post-webinar evaluations or assessments.

How can I access my webinar completion certificates?

After successfully attending a live webinar and fulfilling all participation requirements, you can access and download your completion certificates from your account dashboard on our platform. These certificates are recognized by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other regulatory bodies for compliance and reporting purposes.

How are credits reported to governing bodies?

We issue instant credit certificates, ensuring they are valid for presentation to governing bodies. Typically, we report IRS, CTEC, CFP, IDFP, IWI, VBOA Ethics credits within 7 days – the fastest in the industry.

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