Which releases does this course cover for enforcement?

This SEC Enforcement of Accounting and Reporting Regulation course covers Accounting and Auditing Enforcement Releases issued by the SEC.

Which amount does this course cover determining for sanctions?

This course covers the determination of the fine amount for SEC sanctions.

Which limitations does this course recognize for enforcement?

This course recognizes limitations of regulatory enforcement alongside corporate reporting guidelines.

How many CPE credits does this SEC Enforcement of Accounting and Reporting Regulation course provide?

SEC Enforcement of Accounting and Reporting Regulation is a Technical, self study text course in Accounting worth 1.5 CPE credits, requiring a 9 question final exam preceded by 9 review questions (optional) at a 70% passing score. CPEthink is approved by NASBA as a CPE sponsor and lists this course on the NASBA site as a courtesy for CPAs to search https://nasba.org.

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Course Details

SEC Enforcement of Accounting and Reporting Regulation (Course Id 1433)

QAS / Registry

Author:	Christopher J Demaline, CPA, CMA, CFE, MBA
Course Length:	Pages: 16 \|\|\| Review Questions: 9 \|\|\| Final Exam Questions: 9
CPE Credits:	1.5
IRS Credits:	0
Price:	$13.45
Passing Score:	70%
Course Type:	Text

SEC Enforcement of Accounting and Reporting Regulation - CPE course for CPAs

Technical Designation:	Technical
Field Of Study:	Accounting
Approved Audience:	NASBA QAS - NASBA Registry
Key Takeaways:	This course covers the SECs role in accounting and reporting compliance and reviews actual SEC enforcement cases. Describes the SECs role in ensuring accounting and reporting compliance. Presents the SEC enforcement process from investigation through resolution. Reviews actual enforcement cases to illustrate regulatory expectations and consequences of non compliance. Worth 1.5 CPE credits in Auditing as a self study text course on SEC enforcement of accounting and reporting regulation, requiring a 9 question final exam preceded by 9 review questions (optional) and a 70% passing score.
Frequently Asked Questions:	Which releases does this course cover for enforcement? This SEC Enforcement of Accounting and Reporting Regulation course covers Accounting and Auditing Enforcement Releases issued by the SEC. Which amount does this course cover determining for sanctions? This course covers the determination of the fine amount for SEC sanctions. Which limitations does this course recognize for enforcement? This course recognizes limitations of regulatory enforcement alongside corporate reporting guidelines. How many CPE credits does this SEC Enforcement of Accounting and Reporting Regulation course provide? SEC Enforcement of Accounting and Reporting Regulation is a Technical, self study text course in Accounting worth 1.5 CPE credits, requiring a 9 question final exam preceded by 9 review questions (optional) at a 70% passing score. CPEthink is approved by NASBA as a CPE sponsor and lists this course on the NASBA site as a courtesy for CPAs to search https://nasba.org.
Description:	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.
Usage Rank:	10000
Release:	2018
Version:	1.0
Prerequisites:	None.
Experience Level:	Overview
Additional Contents:	Complete, no additional material needed.
Additional Links:	Internal: SEC Pay Versus Performance Disclosures What You Need to Know Internal: SEC Topics MD&A and Non GAAP Financial Measures External: SEC Enforcement Actions and Litigation Releases External: Accounting and Auditing Enforcement Releases
Advance Preparation:	None.
Delivery Method:	QAS Self Study
Intended Participants:	Anyone needing Continuing Professional Education (CPE).
Revision Date:	06-Mar-2026
NASBA Course Declaration:	Participants must complete the final examination within one year of purchase and with a minimum passing grade of 70% or better to receive CPE credit unless otherwise noted on the Course History page (i.e. California Ethics must score 90% or better). After logging in click on the Course History links on your My Courses page for the Begin date and Expire date for the Final Exam.
Keywords:	SEC Enforcement of Accounting and Reporting Regulation - CPE course for CPAs
Learning Objectives:	Course Learning Objectives 1. Recognize the U.S. Securities and Exchange Commission�s role in accounting and reporting compliance 2. Describe U.S. Securities and Exchange Commission investigation and enforcement process 3. Describe how the U.S. Securities and Exchange Commission and public companies disclose investigations Chapter 1 The U.S. Securities and Exchange Commission�s Role Learning Objective: Recognize the U.S. Securities and Exchange Commission�s role in accounting and reporting compliance Chapter 2 U.S. Securities and Exchange Commission Investigations and Sanctions Learning Objective: Describe the U.S. Securities and Exchange Commission investigation and enforcement process Chapter 3 Making the Public Aware Learning Objective: Describe how the U.S. Securities and Exchange Commission and public companies disclose investigations.
Course Contents:	Course Learning Objectives Introduction Chapter 1 - The U.S. Securities and Exchange Commission�s Role Introduction Importance of regulatory enforcement Overview of the U.S. Securities and Exchange Commission Corporate reporting guidelines Limitations of regulatory enforcement Accounting and Auditing Enforcement Releases Chapter 1 Summary Review Questions Chapter 2 - U.S. Securities and Exchange Commission Investigations and Sanctions Introduction SEC investigation and enforcement SEC accounting enforcement process. Sanctions and firm effects Determination of the fine amount. Effect of sanctions. Chapter 2 Summary Review Questions Chapter 3 - Making the Public Aware Introduction Company Disclosure Litigation narratives. Commitments and Contingencies. Risk disclosures. SEC Releases Case 1 Case 2 Chapter 3 Summary Review Questions References Glossary

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SEC Enforcement of Accounting and Reporting Regulation (Course Id 1433)

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Which releases does this course cover for enforcement?

Which amount does this course cover determining for sanctions?

Which limitations does this course recognize for enforcement?

How many CPE credits does this SEC Enforcement of Accounting and Reporting Regulation course provide?

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