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Detailed Understanding of SEC Mandates and It's Objectives

  • Accountant
  • CPA/ABV
  • CGFM
  • CMA
  • CPA (US)
  • CVA
  • CFA
  • ChFC
  • FSCP
  • CASL
  • ChSNC
  • RICP
  • WMCP
  • CIPM
  • CBA/MCBA
  • FPAC
  • CFIRS
  • CWS
  • Course Description
  • Course Qualification
  • Presenter
  • FAQ

Course Description

Course Description

As outlined in our introductory course to Understanding the SEC, there are many compliance rules and regulations that publicly traded companies must follow. In addition, the SEC has far-reaching powers in the oversight of the various legislations and can assess penalties for companies (or accounting firms), who do not adequately comply with those mandates.

While most violations of securities laws are enforced by the SEC and the various securities regulatory organizations it monitors, state securities regulators can also enforce statewide securities blue sky laws. The SEC also works with federal and state law enforcement agencies to carry out actions against actors alleged to violate the securities laws.

The SEC has a three-part mission:

  • To protect investors – The SEC’s Office of Investor Education and Advocacy issues Investor Alerts& Bulletins as a service to investors.  Alerts typically warn about the latest investment frauds and scams.  Bulletins tend to educate investors about investment-related topics including the functions of the SEC   
  • The SEC protects investors by vigorously enforcing the federal securities laws to hold wrongdoers accountable and deter future misconduct.
  • Maintain fair, orderly, and efficient markets - The U.S. Capital markets are the deepest, most dynamic, and most liquid in the world.  They have evolved to become increasingly fast and complex.  As technological advancements and developments have changed how our securities markets operate, the SEC is tasked with continuously monitoring the market environment, adjusting and modernizing their expertise and rues, and maintaining oversight of regulations. 
  • Facilitate capital formation - The SEC's regulatory regime provides companies and entrepreneurs with a variety of avenues to access capital markets to help create jobs, develop life-changing innovations and technology and provide financial opportunities to those who invest. 

Each mission step has critical components of SEC programs and enforcement actions.  This course will delve into the SEC’s mission statement and its applicable powers of enforcement.

Major topics covered in this online CPE finance webinar:

In this CPE webinar, we focus on the structure and responsibility of the SEC along with reviewing its responsibilities under the SEC Act of 1933 and 1934. 

This online CPE course for CPAs will delve into the various component areas of the SEC Mission statement and discuss elements relevant to each statement including regulation and rulemaking, enforcement actions, investor alerts, and bulletins, filing requirements, and financial reporting.  The continuing education webinar will provide you with an overview of the SECs requirements in these areas from an accountant’s perspective. 

This Online Accounting CPE Course is one of the best courses for Accountants and is Approved for CPE Credits for CPA, CMA, CIA & Others.

Click to access other webinars of this series:

SEC Authority and Responsibilities

Focus on Regulation S-K, S-X, and Form 8-K

SEC Reporting Focus on 10-K, 10-Q, and 8-K

Enforcement and Rulemaking

Learning Objectives

  • To examine the critical components involved in each step of the SEC mission statement and how those elements are executed including: Protecting investors, Maintaining fair, orderly, and efficient markets, Facilitating the capital formation
  • To take a High-level overview of the SEC rulemaking and enforcement process.
  • To have an overview of Edgar, XBRL, and iXBRL.

Recommended For

  • This CPE Course is recommended for CPA, CMA, CIA, CFA, CFOs, CEOs, Entrepreneurs, Business Owners, Managers, and Finance Officials as it will provide a comprehensive understanding of SEC Regulations.

Who Should Attend?

  • Accountant
  • Accounting Firm
  • Accounts Director
  • Assistant Controllers
  • Business Owner
  • CEO
  • CFO/Controller
  • Chief Accounting Officer
  • Compliance Managers
  • Compliance Officers
  • CPA (Industry)
  • CPA - Mid Size Firm
  • CPA - Small Firm
  • CPA in Business
  • Directors of Finance
  • Entrepreneurial Accountant
  • Entrepreneurial CPA
  • Finance Pros
  • Finanical Analyst
  • Young CPA

Course Qualification

Webinar Qualifies For

  • 1.5 PL Credit for Chartered Financial Analyst (CFA)
  • 1.5 CPE Credit of Finance for Certified Public Accountants (CPA-US)
  • 1.5 CPE Credit for Certified Management Accountants (CMA)
  • 1.5 CPE Credit for Certified Valuation Analyst (CVA)
  • 1.5 CPE Credit for Certified Business Appraiser/Master Certified Business Appraiser (CBA/MCBA)
  • 1.5 CPD Credit for Accredited in Business Valuation (ABV)
  • 1.5 PL Credit for Certificate In Investment Performance Measurement (CIPM)
  • 1.5 CRE Credit for Certified Corporate FP&A Professional (FPAC)
  • 1.5 CPE Credit for Chartered Advisor in Senior Living (CASL)
  • 1.5 CPE Credit for Chartered Special Needs Consultant (ChSNC)
  • 1.5 CPE Credit for Retirement Income Certified Professional (RICP)
  • 1.5 CPE Credit for Wealth Management Certified Professional (WMCP)
  • 1.5 CPE Credit for Financial Services Certified Professional (FSCP)
  • 1.5 CPE Credit for Chartered Financial Consultant (ChFC)
  • 1.5 CE Credit for Certified Fiduciary & Investment Risk Specialist (CFIRS)
  • 1.5 CE Credit for Certified Wealth Strategist (CWS)
  • 1.5 General Credit for Accountant/Bookkeeper/Tax Professionals
  • 1.5 CPE Credit for Certified Government Financial Manager (CGFM)

Additional details

  • Course Level :
    Basic
  • Credits :
    1.5
  • Instructional Method :
    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 (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 through its website: www.NASBARegistry.org.

Presenter

About Presenter

Lynn Fountain, CRMA, CPA (US), CGMA, MBA

Owner, Lynn Fountain Consulting and Training

Lynn Fountain has over 39 years of experience spanning public accounting, corporate accounting and consulting. 20 years of her experience has been working in the areas of internal and external auditing and risk management. She is a subject matter expert in multiple fields including internal audit, ethics, fraud evaluations, Sarbanes-Oxley, enterprise risk management, governance, financial management and compliance.  Lynn has held two Chief Audit Executive (CAE) positions for international companies.   In one of her roles as CAE, she assisted in the investigation of a multi-million-dollar fraud scheme perpetrated by a vendor that spanned 7 years and implicated 20 employees.  The fraud was formally investigation by the FBI and resulted in 5 indictments estimating a $13M fraud loss.

Ms. Fountain is currently engaged in her own consulting and training practice.  She has successfully executed on several consulting assignments spanning areas of accounting, risk, ERM and internal audit.  She is a highly sought-after trainer and international speaker and has produced hundreds of courses delivered through seminars, conferences and on-demand training.  She is the author of three separate technical books. 

  • Raise the Red Flag – The Internal Auditors Guide to Fraud Evaluations”.
  • Leading the Internal Audit Function
  • Ethics and the Internal Auditor’s Dilemma

Ms. Fountain obtained her BSBA from Pittsburg State University and her MBA from Washburn University in Kansas. She has her CPA, CGMA, CRMA credentials. 


About Company

Lynn Fountain Consulting and Training

www.lynnfountain.net/

Ms. Fountain has become known as an international trainer on topics of Leadership, Internal Audit, Accounting, Finance, Ethics, Business Processes, Bookkeeping, Cybersecurity and Business Issues.  She has over 150 training topics that can be tailored to meet your needs.

Faq

FAQs content

  • To receive Continuing Education credit for the event, you must register for the webcast prior to the start of each program.
  • Continuing Education Credit Certificate is available to all eligible participants within 24 hours of each webinar.
  • You must attend complete live webinar and respond to all polling questions asked during the webinar. Credits would be issued on 50 minute credit hour basis.
  • Polling feature Not supported: If you are logging in through browser or web portal in the browser (zoom.us) it doesn’t support the polling feature. Please be advised the current polling feature can only be supported via Zoom desktop and mobile app. You can check the same here : https://support.zoom.us/hc/en-us/articles/203749865-Polling-for-webinars
  • This event may be a recorded rebroadcast of a live event done in past and the instructor will be available to answer your questions during/after the webinar.
  • If you still face the polling problem please don’t panic and provide your response in the chat and we shall consider the same for processing for credits. You can download Zoom by clicking on the mentioned link : https://zoom.us/download
  • Our courses meet the global Continuing Professional Development (CPD-IES7) Standard for Chartered Accountants with International Education Standard 7 (IES 7) set by The International Federation of Accountants (IFAC), the International Accounting Education Standards Board (IAESB) and the Association of Chartered Certified Accountants (ACCA). Based on our accreditation by existing IFAC members and affiliates, we believe learners can count their professionally relevant, verifiable learning activities on myCPE, including taking on demand courses and attending live webinars, toward fulfillment of their verifiable CPD-IES7 requirements. However, if there is any question, we recommend that the individual learner confirm with his/her professional licensing organization before taking myCPE courses for CPD-IES7 credit.
  • You can manage your continuing education certificates and credits through your certificate dashboard which is available when you are logged in to your account (LOGIN)
  • As an accredited provider of Continuing Professional Education in the United States, myCPE online learning platform, courses, and webinars meet the requirements set forth by the Institute of Management Accountants (IMA), an IFAC Member Organization, as well as the National State Boards of Accountancy (NASBA) and the Institute of Internal Auditors (IIA), both IFAC Affiliates. As well as it has been approved by NASBA, Internal Revenue Service (IRS), Certified Financial Planner Board (CFP Board), California Tax Education Council (CTEC), Society of Human Resource Professional (SHRM), Human Resource Certification Institute (HRCI) and many more.Therefore, we believe learners can count their professionally relevant, verifiable learning activities on myCPE, including taking on demand courses and attending live webinars, toward fulfillment of their verifiable continuing education requirement as CPD-IES7 requirements. However, if there is any question, we recommend that the individual learner confirm with his/her professional licensing organization before taking myCPE courses for CPD-IES7 credit.
  • myCPE Courses are taken by : CPA | CMA | CFE | CIA | CPA(Yellow Book)| CFP | CFA | CPA (Govt.) | EA | CRTP | MRTP | ORTP | ABV | CITP | CVA | PFS | CFF and others.

Ratings and Review

4.3

3 Ratings

Excellent

1

Very Good

2

Average

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DC

Don Crisp, CPA (US), CGMA

Mar 22nd, 2022

na

Detailed Understanding of SEC Mandates and It's Objectives

EXCLUSIVE

1.5 Credits

Subject Area

Finance

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