Securities and Exchange Commission Recent developments and update - 2019


This course will be an overview of: The Securities and Exchange Commission is an independent federal government agency that has the responsibility for maintaining orderly capital markets, facilitating capital formation and protecting investors. The Public Company Accounting Oversight Board, ("PCAOB"), created by the Sarbanes-Oxley Act of 2002, is a non-profit corporation established by Congress to oversee the audits of public companies in order to protect investors and the public interest by promoting informative, accurate, and independent audit reports. The PCAOB also oversees the audits of brokers and dealers, including compliance reports filed pursuant to federal securities laws, to promote investor protection. Leadership within the SEC and PCAOB changes often. With these changes come different priorities and diverse approaches to regulation, rule-making and enforcement. This CPE program provides a high-level overview of the some of the key areas of focus by the SEC and PCAOB within the past year and includes several examples of how the SEC is implementing its agenda and ensuring integrity in U.S. capital markets.