MYCPE ONE

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

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

  • Vijay Narwani

    | CGMA , CPA , CISA

  • Rating

    4.5

  • Published on

    March, 2025

  • Subject Area

    Accounting

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AI Review Summary

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

Additional Information

Credit

1

Credit

1

Course Level

Basic

Instructional Method

QAS Self Study

Group Internet Based

Pre-requisites

None

Advance Preparation

None

NASBA APPROVED

MY-CPE LLC, 1600 Highway 6 south, suite 250, sugar land, TX, 77478

MY-CPE LLC 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 through its website: www.nasbaregistry.org.

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
  • 4.5
  • rating
  • rating
  • rating
  • rating
  • rating

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. Our courses qualify for credits with NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other professional organizations.

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 accepted by NASBA and other professional organizations?

MY-CPE LLC courses are accepted for continuing education credit by various professional certification programs, including NASBA, IRS, CFP Board, and HRCI. MY-CPE LLC is also recognized by SHRM to offer Professional Development Credits (PDCs) for SHRM-CP® and SHRM-SCP® recertification activities.

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 professional organizations 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. Our courses qualify for credits with NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other professional organizations.

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 accepted by NASBA and other Professional Organizations?

MY-CPE LLC courses are accepted for continuing education credit by various professional certification programs, including NASBA, IRS, CFP Board, and HRCI. MY-CPE LLC is also recognized by SHRM to offer Professional Development Credits (PDCs) for SHRM-CP® and SHRM-SCP® recertification activities.

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 accepted for compliance and reporting purposes with NASBA, IRS, CFP Board, HRCI, SHRM (for PDCs), Payroll Org, FP Canada, and 25+ other professional organizations.

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.

Reviews and Ratings

out of 5

Excellent (62%)

Very Good (28%)

Average (11%)

Poor

Terrible

GP

Grace Pattison, CPA (US)

5

Important course...everyone should take this course.

BB

Brent Burrows, CPA (US)

5

Good course and very informative.

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SEC Overview

Inclusions

  • Multiple Credits

    Multiple Credits

    Earn continuing education credits with flexibility. Choose from live webinars, on-demand courses, e-books, or podcasts to fit your learning style and schedule.

  • Certifications & Reporting

    Certifications & Reporting

    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 - fastest in the industry.

  • Credit Tracker

    Credit Tracker

    Track and manage your compliance across all 50 states and over 100 designations. Our Credit Tracker keeps your CPE credits and compliance requirements always up-to-date.

  • Certificate Vault

    Certificate Vault

    Certificate Vault to upload, manage, and access certificates earned from various sources and an integrated credit tracker, allowing users to monitor and manage their credits conveniently for compliance.

  • Compliance Reminders

    Compliance Reminders

    Stay current with our automated reminder system. Receive timely alerts for your CPE requirements, ensuring you never miss a deadline.

  • Mobile App Access

    Mobile App Access

    The MYCPE ONE Mobile App allows you to learn on the go, providing access to educational content on Android and Apple iOS devices. You can learn anytime and anywhere, making it convenient for busy schedules.

  • Live Support

    Live Support

    Our support team is available via live chat, email, and phone from 9 AM to 5 PM ET. We're here to help with any questions or issues, ensuring you have a seamless experience.

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