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 structures, 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.