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Detailed Understanding of SEC Mandates and It's Objectives

  • CIA
  • CMA
  • CPA (US)
  • CFA
  • IAP
  • QIAL
Detailed Understanding of SEC Mandates and It's Objectives

1.5 Credits


Subject Area


Webinar Qualifies For

1.5 CPE credit of Finance for all CPAs

1.5 CPE credit for Certified Management Accountants (CMA)

1.5 CPE credit for Certified Internal Auditors (CIA)

1.5 PL credit for Chartered Financial Analyst (CFAs)

1.5 CPE credit for Qualification in Internal Audit Leadership (QIAL)

1.5 CPE credit for Internal Audit Practitioner (IAP)

1.5 General Educational credit for Tax Professionals / Bookkeepers / Accountants

Upcoming Webinars

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Quickbooks for Desktop PC Exploring the Interface - For Beginners


Nov 29, 2021 | 10:00 AM EST View Details

Excel Accountant: Intro to Spreadsheets In-Depth


Nov 29, 2021 | 10:00 AM EST View Details

Yellow Book Boot Camp – Introduction to NFP and Governmental Accounting & Auditing


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Best Overview on Individual Tax Updates Latest (Basic)


Nov 29, 2021 | 10:00 AM EST View Details

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Nov 29, 2021 | 10:00 AM EST View Details

Auditing & Attest Update - Hot Topics For Current Period Audits And Other Attest Services


Nov 29, 2021 | 10:00 AM EST View Details

Adding Value through Plan Governance: Essential Documents


Nov 29, 2021 | 10:30 AM EST View Details

Basis Calculations & Distributions For Pass-thru Entity Owners Schedule K-1 Analysis (Latest)


Nov 29, 2021 | 11:00 AM EST View Details

Everything You Need to Know About Partnerships


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Employment Branding and YOU!

Nov 29, 2021 | 11:00 AM EST View Details

Effectively Handling CP 2100 letter and B Notices

Nov 29, 2021 | 11:00 AM EST View Details

This Course is Also Available in Self Study (On-Demand)

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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 to 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 be in violation of 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, adjust and modernize their expertise and rues, and maintain 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 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 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 capital formation
  • To take a High level overview of the SEC rule making and enforcement process.
  • To have an overview of Edgar, XBRL and iXBRL.

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