SEC Reporting

Overview of the SEC and Laws that Govern the Securities Industry

Course Overview:
This course addresses the organization of the SEC as well as introducing the laws that regulate the securities industry. The divisions of the SEC include Corporate Finance, Trading and Markets, Investment Management, Enforcement, and Economic and Risk Analysis. The primary laws that govern the securities industry include Securities Acts of 1933 and 1934, Trust Indenture Act of 1939, Investment Advisors Act of 1940, Investment Company Act of 1940, Sarbanes-Oxley Act of 2002, Dodd-Frank Act of 2010, and Jumpstart Our Business Startups Act of 2012.

Learning Objectives:

After completing this course, participants should be able to:
  • Identify the five divisions that make up the SEC and describe their duties and responsibilities
  • Identify and describe the laws that govern the securities industry

  • Prerequisites/Advanced Preparation:

    Basic knowledge of financial reporting

    Speaker / Author:

    John M. Fleming, CPA, MBA, is currently the Director, Content Development for SmartPros LTD, a division of Kaplan Professional Education. SmartPros is an international educational and training company specializing in accounting, finance and ethics educational programs. John previously served as President and Director of Accounting and Auditing for LOSCALZO ASSOCIATES, a division of SmartPros for twenty-eight years. John retired as President of Loscalzo Associates on January 1, 2014.

    John’s prior practice experience includes audit, tax, consulting, office management, and human resource responsibilities with Deloitte LLP, Richard Eisner & Company LLP, and Ernst & Young LLP. John is a graduate of LaSalle and Drexel Universities with degrees in accounting and finance.

    John, a Pennsylvania CPA, served as the 1999/2000 President of the 8,300 member Greater Philadelphia Chapter of the Pennsylvania Institute of Certified Public Accountants (PICPA) and currently serves as a member of the Institute’s Accounting and Auditing Technical Committee. In 2006, the PICPA recognized John as a Joseph E. Sterrett Fellow for his contributions to the accounting profession and in 2007, the Philadelphia Chapter recognized John with their Champion Award for his contributions to the PICPA, Chapter, profession and community. John has also served as the 2002/2003 President of the American Accounting Association’s Mid-Atlantic Region.

    John and his wife Marge live in Medford, New Jersey.

    Price (USD)

    Standard: $24.95


    Course Code : 99SEC01

    Length : 50min
    Course Level : Basic
    Course Type : QAS Self-Study
    Passing Grade : 70%
    Format Type : eLearning
    Mobile Compatible
    Field Of Study : Accounting

    Theme : SEC Reporting

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