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SEC Segment 5: Enforcement and Rulemaking

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

Published: September, 2021

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

  • Course Description
  • Course Qualification
  • Presenter
  • FAQ

Course Description

Overview

  • Legislation governing The Securities Industry
    10 mins
  • Rulemaking
    18 mins
  • Roles
    35 mins
  • Civil Actions
    43 mins
  • Enforcement manual
    53 mins