SEC Segment 2: SEC Mandates and Objectives

Lynn Fountain, CRMA, CPA, CGMA, MBA

Lynn Fountain Consulting and Training

  • CMA
  • CPA
  • CVA
  • CFE

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

Overview

  • SEC 2018-2022 Strategic Plan
    6 mins
  • Protect Investors
    17 mins
  • Maintain Fair, Orderly, and Efficient markets
    23 mins
  • EDGAR Filing Registration
    41 mins
  • XBRL - The Business Supporting Standard
    47 mins
  • Whistleblower
    60 mins
  • Top 10 Awards
    64 mins
  • Summary
    66 mins

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.

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

Who Should Attend?

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