- NY Credits : 4.0
- TX Credits : 4.0
This course provides an overview of the purpose and objectives of the Securities and Exchange Commission (SEC), including the Securities Act of 1933 (Securities Act or 1933 Act) and the Securities Exchange Act of 1934 (Exchange Act or 1934 Act). The course also allows participants to become familiar with the sources of SEC rules and understand basic registration and periodic reporting requirements. Additionally, users will gain an understanding of the role of the independent auditor. The course concludes with the basic procedures and forms involved in the securities and registration process. This basic level course is most beneficial to professionals new to SEC reporting who may be at the staff or entry level in organization but also for a seasoned professional with limited exposure to this topic.
Upon successful completion of this course, the user should be able to:
identify the role of the SEC in corporate securities regulation and how it is organized,
list the basic objectives of the Securities Act and the Exchange Act,
identify the basic periodic reporting forms,
recognize the role of the independent auditor, and
identify the basic procedures and forms involved in the securities registration process.