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SEC Segment 1: SEC Authority and Responsibilities

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  • Introduction to SEC
    2 mins
  • Securities Act of 1934
    11 mins
  • Division of Investment Management
    27 mins
  • Securities Act of 1933
    42 mins
  • Fraud provisions
    51 mins
  • Exception to Exchange Act registrations
    60 mins
  • an overview of Form 10-Q
    67 mins
  • Summary
    76 mins

Course Description

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

Learning Objectives

  • 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

Who Should Attend?

  • Accountant
  • Accounting Firm
  • Accounting Managers
  • Certified Fraud Examiner
  • Certified Management Accountant
  • Certified Valuation Analysts
  • Cloud Accountants
  • CPA (Industry)
  • CPA - Large Firm
  • 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





This was a good, informative and useful course.