Compliance with U.S. Securities and Exchange Commission Laws

Instructor: Lynn Fountain
Product ID: 704071
Training Level: Intermediate
  • Duration: 90 Min

recorded version

1x Person - Unlimited viewing for 6 Months
(For multiple locations contact Customer Care)
Recorded Link and Ref. material will be available in My CO Section

Training CD

One CD is for usage in one location only.
(For multiple locations contact Customer Care)
CD and Ref. material will be shipped within 15 business days

Customer Care

Fax: +1-650-963-2556


Read Frequently Asked Questions

This training program is designed for individuals who need a more detailed understanding of the Securities and Exchange Commission procedures and process and its authority over publically traded companies. The session is applicable to all financial, compliance and regulatory personnel. It will serve as an introduction to the basics of the SEC organization and overview aspects of the organization itself, its enforcement reach and laws subject to SEC scrutiny.

"Compliance with U.S. Securities and Exchange Commission Laws" - This course is approved by NASBA (National Association of State Boards of Accountancy). Attendees of Live Webinar are eligible for 1.8 CPE credit up on full completion of the course.

Why Should You Attend:

The SEC is an agency that all publically traded organizations should fully understand and comprehend their compliance requirements. There are many functions and sections of SEC enforcement and in order to appropriately comply, you must have a strong understanding of the purpose and the reach of the SEC organizations often get so caught up in the various SEC filling forms that they sometimes overlook the need for quality. This webinar will discuss why compliance professionals must have a strong comprehension of the various requirements of the SEC and how this impacts individual organizations.

Learning Objectives:

  • Understanding the background and purpose of the SEC
  • Identifying the laws that govern the SEC and the organizations that are part of the SEC
  • Explaining the SEC organization and purpose
  • Dissecting the SEC powers and rulemaking process and enforcement procedures

Areas Covered in the Webinar:

  • SEC background and establishment purpose
  • Laws governing the SEC
  • SEC organization and purpose
  • SEC powers and rulemaking process
  • SEC divisions, offices and purpose
  • SEC enforcement procedures

Who Will Benefit:

  • CEO, CFO and Senior Management
  • Board of Directors
  • Accounting and Financial Personnel
  • Legal and Compliance Personnel
  • Internal Auditors

Instructor Profile:

Lynn Fountain has over 30 years of experience in the business profession, which includes public and industry accounting and over 20 years within internal and external auditing combined. She is a nationally recognized trainer and speaker and also a published author. She is a subject matter expert and specializes in internal audit, Sarbanes-Oxley, enterprise risk management, fraud, governance and compliance. Ms. Fountain has held two chief audit executive positions for international companies. She currently performs consulting for companies on internal audit, risk management, internal controls, financial reporting and accounting along with performing training.

Ms. Fountain has also been instrumental in the establishment of ERM, Sarbanes-Oxley and governance frameworks. She has developed and delivered leading edge training sessions on COSO, internal audit, ERM, accounting, leadership, governance, compliance and ethics.

Ms. Fountain has authored a publication for the Institute of Internal Auditors Research Foundation (IIARF) titled “Raise the Red Flag – The Internal Auditors Guide to Fraud Evaluations.” In addition, she is currently authoring a publication for Auerbach on “Leading the Internal Audit Function.” She has performed as an adjunct instructor for the School of Business for Grantham University and the School of Business at the University of Kansas.

Ms. Fountain obtained her BSBA from Pittsburg State University and her MBA from Washburn University in Kansas. She has her CGMA, CRMA credentials and CPA certificate.

Topic Background:

The mission of the U.S. Securities and Exchange Commission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. The SEC oversees the key participants in the securities world. It is the responsibility of the commission to:

  • interpret and enforce federal securities laws;
  • issue new rules and amend existing rules;
  • oversee the inspection of securities firms, brokers, investment advisers, and ratings agencies;
  • oversee private regulatory organizations in the securities, accounting, and auditing fields; and
  • coordinate U.S. securities regulation with federal, state, and foreign authorities.

The Securities Act of 1933 together with the Securities Exchange Act of 1934 created the SEC. This was designed to restore investor confidence in our capital markets by providing investors and the markets with more reliable information and clear rules of honest dealing.

We are registered with and adhere to the Statement on Standards for Continuing Professional Education programs of the National Registry of CPE Sponsors. Our registration number is 109066. Please check with the governing body of your license and state for specific CPE requirements. Grievances may be forwarded to the company at 650 620 3961. Grievances may also be forwarded to the National Registry of CPE Sponsors-NASBA, 150 Fourth Avenue North, Suite 700, Nashville, TN 37219-2417, 615-880-4200,, e-mail

Field of Study Minutes CPE
Accounting 90 1.8
Total Duration - 90 Min Total Credits - 1.8

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