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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.

Learning Objectives

  • Explore and examine the history and structure of the SEC.
  • Identify and overview the structure and purpose of the various SEC divisions including:
    • Corporation Finance
    • Trading and Markets
    • Investment Management
    • Enforcement
    • Economic and Risk Analysis
  • Identify and overview of SEC Act of 1933 and its relevance to public companies and IPO candidates.
  • Recognize and overview of the SEC Act of 1934 and its relevance to public companies. and IPO candidates.
  • Discover 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.
  • Explore and examine the various forms of communication to and with the SEC for public companies.
Last updated/reviewed: June 01, 2021

Prerequisites

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
  5:07Introduction to Securities and Exchange Commission: Structure and Authority
  7:34History and Structure
  14:45Structure and Purpose
  11:58Structure and Purpose Cont'd
  4:20SEC Act of 1933
  9:30SEC Act of 1934
  7:57IPO and Going Public
  13:53Forms
  9:54Summary
CONTINUOUS PLAY
  1:24:58Securities and Exchange Commission: Structure and Authority
SUPPORTING MATERIAL
  PDFSlides: Securities and Exchange Commission: Structure and Authority
  PDFSecurities and Exchange Commission: Structure and Authority Glossary/ Index
REVIEW AND TEST
  quizREVIEW QUESTIONS
 examFINAL EXAM