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SEC Segment 1: SEC Authority and Responsibilities

  • Accountant
  • CFE
  • 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

  • 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