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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: August 22, 2023
3 Reviews (10 ratings)


Member's Profile
Excellent overview of the structure of the SEC - I found this presentation very informative for such a dry topic.

Member's Profile
Good introduction to the SEC and related matters - kept me engaged despite what can be dry content.

Member's Profile
One of the test questions had and "!0-k" and the answer should have been "10-k"

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 Syllabus
  Introduction to Securities and Exchange Commission: Structure and Authority5:07
  History and Structure7:34
  Structure and Purpose14:45
  Structure and Purpose Cont'd11:58
  SEC Act of 19334:20
  SEC Act of 19349:30
  IPO and Going Public7:57
  Securities and Exchange Commission: Structure and Authority1:24:58
  Slides: Securities and Exchange Commission: Structure and AuthorityPDF
  Securities and Exchange Commission: Structure and Authority Glossary/ IndexPDF