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The Role of the SEC and the Financial Markets

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Course Description

This course gives the CPA a solid introduction to the regulation of the financial markets. Topics covered include: the role of the SEC, insider trading, executive compensation, the Sarbanes-Oxley Act, strengthening auditor independence, and selected issues in the securities market.

Learning Objectives

To describe the backdrop for recent legislative and regulatory reform of the financial markets To discuss the history and organization of the Securities and Exchange Commission and the major laws which regulate its activity To describe the federal requirements which govern the regulation of securities brokers and dealers, including their duties and responsibilities to their clients To detail the federal laws prohibiting insider trading and to define the specific types of activities prescribed by these laws To detail recent changes in federal law governing the determination and disclosure of the compensation of corporate executives To provide an overview of the reforms of the financial markets mandated by the Sarbanes-Oxley Act of 2002 To review the new Securities and Exchange Commission requirements governing auditor independence mandated by the Sarbanes-Oxley Act of 2002

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Learning Format 10.0 Hours
Self-Study / On-Demand

Credit Type(s)
Business Mgmt & Org Management Advisory

Knowledge Level
Basic