Compliance with U.S. Securities and Exchange Commission Laws

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.

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