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Securities and Exchange Commission Accounting Enforcement Process (Video) (Course Id 1940)

QAS / Registry
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Author:

 Christopher J Demaline, CPA, CMA, CFE, MBA

Course Length:

 Pages: 6 ||| Review Questions: 3 ||| Final Exam Questions: 5

CPE Credits:

 1.0

IRS Credits:

 0

Price:

 $14.95

Passing Score:

 70%

Course Type:

 Video
Securities and Exchange Commission Accounting Enforcement Process (Video) - CPE course for CPAs

Technical Designation:

 Technical

Field Of Study:

 Accounting

Approved Audience:

 NASBA QAS - NASBA Registry

Key Takeaways:

This video course explains the SEC role in accounting and reporting compliance along with its enforcement process.

  • Provides a presentation of the SEC enforcement process for accounting related violations.
  • Reviews actual enforcement cases to illustrate compliance risks.
  • Addresses expectations for financial reporting compliance under SEC oversight.
  • Worth 1.0 CPE credit in Accounting as a self study video course on the SEC accounting enforcement process, requiring a 5 question final exam preceded by 3 review questions (optional) and a 70% passing score.

Frequently Asked Questions:

This Securities and Exchange Commission Accounting Enforcement Process course teaches how to recognize the SECs role in accounting and reporting compliance.

This course teaches how to describe the SEC investigation and enforcement process, reviewing actual enforcement cases.

This course teaches how to describe how the SEC and public companies disclose investigations.

This Securities and Exchange Commission Accounting Enforcement Process video course carries 1.0 CPE credit in Accounting as a Technical, self study course, requiring a 5 question final exam preceded by 3 review questions (optional) with 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:

 11111

Release:

 2022

Version:

 1.0

Prerequisites:

 None.

Experience Level:

 Overview

Additional Contents:

 Complete, no additional material needed.

Additional Links:
External: Securities and Exchange Commission (SEC)
External: SEC Enforcement Actions
External: PCAOB Enforcement and Disciplinary Proceedings
Internal: SEC Enforcement of Accounting & Reporting Regulation
Internal: Securities & Exchange Commission Accounting Enforcement Process (Video)

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:

 Securities and Exchange Commission Accounting Enforcement Process (Video) - CPE course for CPAs

Learning Objectives:

Course Learning Objectives

Upon completion of this course, participants will be able to do the following:
    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

Course Contents:

Chapter 1 - Securities and Exchange Commission Accounting Enforcement Process

Chapter 1 Review Questions
Click to go to: Accounting CPE Courses | Online Accounting Courses for CPAs
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