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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: November 20, 2019

2 Reviews (15 ratings)Reviews

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.
5
Anonymous Author
The course presents a concise overview of the role of the SEC and its investigation and enforcement process.

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 .
Course Syllabus
INTRODUCTION AND OVERVIEW
  1:12Introduction to SEC Enforcement of Accounting and Reporting Regulation
  4:03Importance of Regulatory Enforcement
  7:56Quick Check
  9:51U.S. Securities and Exchange Commission Investigations and Sanctions
  13:14Making the Public Aware
CONTINUOUS PLAY
  36:16SEC Enforcement of Accounting and Reporting Regulation Full Video
SUPPORTING MATERIALS
  PDFSlides: SEC Enforcement of Accounting and Reporting Regulation
  PDFSEC Enforcement of Accounting and Reporting Regulation Glossary/Index
REVIEW AND TEST
  quizREVIEW QUESTIONS
 examFINAL EXAM