Detailed Understanding of SEC Mandates and It's Objectives

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 SEC's requirements in these areas from an accountant’s perspective. 

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?

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 (ACCT./BK)
• 1.5 CPE Credit for Certified Government Financial Manager (CGFM)

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