SEC Segment one: SEC Authority and Responsibilities

Lynn Fountain, CRMA, CPA, CGMA, MBA

Lynn Fountain Consulting and Training

Thursday, May 27, 2021 | 01:00 PM EDT

  • CPA

2 Credits


Subject Area


Webinar Qualifies For

2 CPE credit for Certified Internal Auditors (CIA)

2 CPE credit for Certified Management Accountants (CMA)

2 CPE credit of Finance for all CPAs

2 CPE credit for Internal Audit Practitioner (IAP)

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

2 CPD credit (Verifiable) for Certified Valuation Analyst (CVA)

2 CPD credit (Verifiable) for CPA/ABV

2 General Educational credit for Tax Professionals / Bookkeepers / Accountants

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This webinar is also available in self-study (On-Demand)

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Course Description

The U.S. Securities and Exchange Commission (SEC) founded by President Franklin D. Roosevelt in 1934.  It was created by Section 4 of the Securities Exchange Act of 1934  It is comprised of a large independent agency of the United States federal government that was created following the stock market crash in the 1920s to protect investors and the national banking system. The primary purpose of the SEC is to enforce the law against market manipulation. 

The SEC created has created a host of regulation which they enforce

  • The Securities Exchange Act of 1933
  • The Securities Exchange Act of 1934
  • The Trust-Indenture Act of 1939
  • Investment Company Act of 1940
  • Investment Advisers Act of 1940
  • Gramm-Leach Bliley Act of 1999 
  • The Sarbanes-Oxley Act of 2002 
  • The Dodd-Frank Act of 2010
  • Various other legislations

The SEC has a three-part mission: 

  • To protect investors
  • Maintain fair, orderly, and efficient markets 
  • Facilitate capital formation 

Topics Covered:

Learn more about specific SEC structure, functions and responsibilities carried out by various divisions and offices within the Washington D.C. headquarters and regional offices around the country.

This CPE webinar focuses on the purpose and structure of the SEC and its role in financial accounting and reporting compliance for publicly traded companies. We will also do a high level introduction to various important forms to file with the SEC.  A deep dive into many of these forms will be completed in a separate webinar.

Learning Objectives

  • To examine the history and structure of the SEC
  • To have the overview the structure and purpose of the various SEC divisions including: Corporation Finance, Trading and Markets, Investment Management, Enforcement, Economic and Risk Analysis
  • To take an overview of SEC Act of 1933 and its relevance to public companies and IPO candidates
  • To have the overview of the SEC Act of 1934 and its relevance to public companies. and IPO candidates
  • To identify a High level introduction to important forms including Registration Statement, 10K, 10Q, 8-K, Proxy statement, Forms 3, 4, 5, S-1, S-2, S-3, Schedule 13D, Form 144
  • To examine the various forms of communication to and with the SEC for public companies

Who Should Attend?

  • Accountant
  • Accounting and audit managers/practitioners
  • Accounting Firm
  • Accounting Managers
  • Accounting Practice Owners
  • Auditors
  • Certified Management Accountant
  • Compliance Managers
  • Finance Director
  • Finance Pros
  • Financial Investigator
  • Senior Accountant
  • Staff of Accounting Firm