This course covers the U.S. Securities and Exchange Commission’s (SEC’s) role in accounting and reporting compliance, provides a presentation of the SEC enforcement process, and reviews actual enforcement cases. 

 

Learning Objectives
  • Recognize the U.S. Securities and Exchange Commission’s role in accounting and reporting compliance
  • Explore the U.S. Securities and Exchange Commission investigation and enforcement process 
  • Discover how the U.S. Securities and Exchange Commission and public companies disclose investigations
Last updated/reviewed: March 4, 2024
7 Reviews (38 ratings)

Reviews

5
Anonymous Author
A great course on SEC enforcement process. The course provided good examples of actual companies, that settled with the SEC and gives the reason why the SEC was investigating them in the first place.
3
Anonymous Author
The course material for SEC Enforcement of Accounting and Reporting Regulation could have been more complete. I would have liked to have more detail to review prior to the final exam.
3
Member's Profile
there was very little resource material so I had to keep replaying parts of the presentation to catch all the relevant information.
5
Anonymous Author
This course was insightful and provided relevant information. The course materials were aligned with the learning objectives.
5
Anonymous Author
The course presents a concise overview of the role of the SEC and its investigation and enforcement process.
5
Member's Profile
Nice quick overview of SEC history and purpose. I appreciated the presenters no nonsense delivery style.
4
Anonymous Author
Very informative. I like the examples and how actions are applied by the SEC.
Prerequisites
Course Complexity: Intermediate

No advanced preparation or prerequisites are required for this course.

Education Provider Information
Company: Illumeo, Inc., 75 East Santa Clara St., Suite 1215, San Jose, CA 95113
Contact: For more information regarding this course, including complaint and cancellation policies, please contact our offices at (408) 400- 3993 or send an e-mail to .
Instructor for this course
  Course Overview CPE
Course Syllabus
INTRODUCTION AND OVERVIEW
  Introduction to SEC Enforcement of Accounting and Reporting Regulation1:12
  Importance of Regulatory Enforcement4:03
  Quick Check7:56
  U.S. Securities and Exchange Commission Investigations and Sanctions9:51
  Making the Public Aware13:14
CONTINUOUS PLAY
  SEC Enforcement of Accounting and Reporting Regulation Full Video36:16
SUPPORTING MATERIALS
  Slides: SEC Enforcement of Accounting and Reporting RegulationPDF
  SEC Enforcement of Accounting and Reporting Regulation Glossary/IndexPDF
REVIEW AND TEST
  REVIEW QUESTIONSquiz
 FINAL EXAMexam