Detailed Understanding of SEC Mandates and It's Objectives 1.5 Credits 1.5 Credits
Learning mode
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), that 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 securities laws.
The SEC has a three-part mission:
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.
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.Â
This online CPE Finance 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.Â
| License details | Credits | Status |
|---|---|---|
| Finance for Certified Public Accountants (CPA-US) | 1.5 CPE | Approved |
| Financial Reporting for Certified Management Accountants (CMA) | 1.5 CPE | Eligible |
| Finance for Accredited in Business Valuation (ABV) | 1.5 CPD | Eligible |
| Finance for Chartered Financial Analyst (CFA) | 1.5 PL | Eligible |
| Finance for Certified Government Financial Manager (CGFM) | 1.5 CPE | Eligible |
| Finance for Chartered Financial Consultant (ChFC) | 1.5 CE | Eligible |
| Finance for Retirement Income Certified Professional (RICP) | 1.5 CE | Eligible |
| Finance for Certified Valuation Analyst (CVA) | 1.5 CPE | Eligible |
| Finance for Wealth Management Certified Professional (WMCP) | 1.5 CE | Eligible |
| Finance for Financial Services Certified Professional (FSCP) | 1.5 CE | Eligible |
| Finance for Chartered Advisor in Senior Living (CASL) | 1.5 CE | Eligible |
| Finance for Chartered Special Needs Consultant (ChSNC) | 1.5 CE | Eligible |
| Finance for Certified Business Appraiser (CBA)/Master Certified Business Appraiser (MCBA) | 1.5 CPE | Eligible |
| Finance for CIPM | 1.5 PL | Eligible |
| General finance principles and financial concepts for Certified FP&A Professional (FP&A) | 1.5 CE | Eligible |
| License details | Credits | Status |
|---|---|---|
| Finance for Certified Public Accountants (CPA-US) | 1.5 CPE | Approved |
| Financial Reporting for Certified Management Accountants (CMA) | 1.5 CPE | Eligible |
| Finance for Accredited in Business Valuation (ABV) | 1.5 CPD | Eligible |
| Finance for Chartered Financial Analyst (CFA) | 1.5 PL | Eligible |
| Finance for Certified Government Financial Manager (CGFM) | 1.5 CPE | Eligible |
| Finance for Chartered Financial Consultant (ChFC) | 1.5 CE | Eligible |
| Finance for Retirement Income Certified Professional (RICP) | 1.5 CE | Eligible |
| Finance for Certified Valuation Analyst (CVA) | 1.5 CPE | Eligible |
| Finance for Wealth Management Certified Professional (WMCP) | 1.5 CE | Eligible |
| Finance for Financial Services Certified Professional (FSCP) | 1.5 CE | Eligible |
| Finance for Chartered Advisor in Senior Living (CASL) | 1.5 CE | Eligible |
| Finance for Chartered Special Needs Consultant (ChSNC) | 1.5 CE | Eligible |
| Finance for Certified Business Appraiser (CBA)/Master Certified Business Appraiser (MCBA) | 1.5 CPE | Eligible |
| Finance for CIPM | 1.5 PL | Eligible |
| General finance principles and financial concepts for Certified FP&A Professional (FP&A) | 1.5 CE | Eligible |
Credits
1.5
Course Level
Basic
Instructional Method
QAS Self Study
Group Internet Based
Pre-requisites
None
Advance Preparation
None
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.
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.
Ms.
Fountain obtained her BSBA from Pittsburg State University and her MBA from
Washburn University in Kansas. She has her CPA, CGMA, CRMA credentials.

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. We are approved by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other regulatory bodies.
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 approved by NASBA and other regulatory bodies?
Yes, all our self-study courses are approved by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other regulatory bodies, ensuring they meet the rigorous standards for quality and educational content set by these organizations.
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 regulatory bodies 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.
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. These sessions meet the standards set by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other regulatory bodies.
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 approved by NASBA and other regulatory bodies?
Yes, all our live webinars are approved by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other regulatory bodies, ensuring they meet the high standards for quality, interactivity, and educational content set by these organizations.
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 recognized by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other regulatory bodies 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.
May 09, 10:00 AM ET
May 09, 11:30 AM ET
May 09, 12:30 PM ET
May 09, 01:00 PM ET
May 09, 02:30 PM ET
May 12, 01:00 PM ET
Inclusions
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
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
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 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.
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Stay current with our automated reminder system. Receive timely alerts for your CPE requirements, ensuring you never miss a deadline.
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