myCPE
myCPE

All Courses, One Price. Unlimited Access and Many Benefits.

Subscribe $199

April Accelerate Sale 2024 : 67% Savings on Subscription. Offer Ends Soon! April Accelerate Sale 2024 :
67% Savings on Subscription. Offer Ends Soon!
00hrs : 00min : 00sec

View Offer

SEC Segment 1: SEC Authority and Responsibilities 2 Credits

SEC Segment 1: SEC Authority and Responsibilities 2 Credits

Learning mode

  • Access the course at your convenience
  • Take the assessment test
  • Get your certificate
  • Answer the polling questions
  • Get your certificate

Learning Objective

  • To examine the history and structure of the SEC
  • Overview of SEC Act of 1933 and its relevance to public companies and IPO candidates
  • Overview of the SEC Act of 1934 and its relevance to public companies. and IPO candidates
  • 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

Course Overview

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 
Who Should Attend

  • Finance professionals
  • Accounting professionals
  • Auditing Professionals
  • Compliance Professionals
  • Board and Executive management of public companies or companies considering an IPO
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 course 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.

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

  • 2 CPE Credit of Finance for Certified Public Accountants (CPA-US)
  • 2 General Credit for Accountant/Bookkeeper/Tax Professionals
  • 2 CPE Credit for Certified Fraud Examiner (CFE)
  • 2 CPE Credit for Certified Management Accountants (CMA)
  • 2 CPE Credit for Certified Valuation Analyst (CVA)
  • 2 CE Credit for Certified Wealth Strategist (CWS)
  • 2 CE Credit for Certified Fiduciary and Investment Risk Specialist (CFIRS)
  • 2 CPE Credit for Certified Business Appraiser (CBA)/Master Certified Business Appraiser (MCBA)

Additional Information

Credits

2

Course Level

Basic

Instructional Method

QAS Self Study
Group Internet Based

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.

About Instructor

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. 


On Demand FAQs

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.

Live Webinar FAQs

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.

Ratings and Review

5

Excellent

Very Good

Average

Poor

Terrible

LF

Lawrence Fleming, CPA (US)

This was a good, informative and useful course.

Inclusions
  • Multiple Credits
    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
    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
    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

    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.

  • Compliance Reminders
    Compliance Reminders

    Stay current with our automated reminder system. Receive timely alerts for your CPE requirements, ensuring you never miss a deadline.

  • Mobile App Access
    Mobile App Access

    The myCPE Mobile App allows you to learn on the go, providing access to educational content on Android and Apple iOS devices. You can learn anytime and anywhere, making it convenient for busy schedules.

  • Live Support
    Live Support

    Our support team is available via live chat, email, and phone from 9 AM to 5 PM ET. We're here to help with any questions or issues, ensuring you have a seamless experience.

Exclusive
mobile app for
our unlimited access
subscribers