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SEC Segment 2: SEC Mandates and Objectives

  • ACCT/BK
  • CMA
  • CPA (US)
  • CVA
  • CBA/MCBA
  • CFIRS
  • CWS

Published: April, 2022

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Before starting this self study program, please go through the instructional document.

  • 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 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.

This Online Accounting CPE Course is one of the best courses for Accountants and Approved for CPE Credits for CPA,CMA,CIA & Others. It's a Part of Series:


SEC Segment 1: SEC Authority and Responsibilities

SEC Segment 2: SEC Mandates and Objectives

SEC Segment 3: Focus on Regulation S-K, S-X and Form 8-K

SEC Segment 4: SEC Reporting Focus on 10-K, 10-Q and 8-K

SEC Segment 5: Enforcement and Rulemaking

Modules

  • 1.1 Introduction
  • 00:04:36
  • 1.2 Agenda
  • 00:00:52

  • 2.1 SEC Goals
  • 00:01:39
  • 2.2 SEC Strategic Plan
  • 00:10:40
  • 2.3 SEC Protect Investors
  • 00:06:31

  • 3.1 Maintain fair, orderly and efficient markets
  • 00:06:02
  • 3.2 Facilitate capital formation
  • 00:05:28

  • 4.1 Filing history and EDGAR filing registration
  • 00:08:37
  • 4.2 XBRL overview
  • 00:05:27
  • 4.3 IXBRL vs XBRL
  • 00:03:09

  • 5.1 Enforcement overview
  • 00:06:15
  • 5.2 Rulemaking overview
  • 00:01:36
  • 5.3 Whistleblower rules
  • 00:07:44

  • 6.1 Summary
  • 00:00:44
  • 6.2 Ending Speech
  • 00:00:39

Learning Objectives

  • High level overview of the SEC rule making and enforcement process.
  • Overview of Edgar, XBRL and iXBRL.
  • To examine the critical components involved in each step of the SEC mission statement

Recommended For

  • This webinar is recommended for a staff working in accounts or finance department.

Who Should Attend?

  • Accountant
  • Accounting Firm
  • Accounting Managers
  • Certified Fraud Examiner
  • Certified Management Accountant (CMA)
  • Certified Public Accountant (CPA)
  • Certified Valuation Analysts
  • CPA (Industry)
  • CPA - Mid Size Firm
  • CPA - Small Firm
  • Entrepreneurial CPA
  • Finance Pros
  • Senior Accountant
  • Staff of Accounting Firm
  • Young CPA

Course Qualification

Webinar Qualifies For

  • 2 General Credit for Accountant/Bookkeeper (ACCT./BK)
  • 2 CPE Credit of Financial Reporting for Certified Management Accountants (CMA)
  • 2 CPE Credit of Accounting for Certified Public Accountants (CPA-US)
  • 2 CPE Credit of Financial accounting for Certified Valuation Analyst (CVA)
  • 2 CPE Credit of Financial accounting for Certified Business Appraiser/Master Certified Business Appraiser (CBA/MCBA)
  • 2 CE Credit for Certified Fiduciary & Investment Risk Specialist (CFIRS)
  • 2 CE Credit for Certified Wealth Strategist (CWS)

Additional details

  • Course Level :
    Basic
  • Credits :
    2
  • Instructional Method :
    QAS Self Study
  • 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

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