Securities and Exchange Commission Recent developments and update - 2019

$49.00

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

Course Instructors

Timothy F. Gearty

Tim Gearty is the National Director and Editor-in-Chief for the world’s largest CPA training program, Becker CPA Review. In addition to his editorial leadership, Tim is also Becker's National Lead Instructor, whose taped lectures are seen in over 325 locations throughout the world.

Tim is a nationally recognized expert and speaker on a variety of accounting and tax topics, and has appeared as keynote speaker for several Fortune 100 companies as well as many national associations. He has frequently been called upon over the past twenty years to present accounting and tax topics to large groups, organizations, and corporations, accounting firms and in legal proceedings.

Tim is a partner in Gearty & McIntyre, LLP, CPA, a firm which has developed a reputation as a specialist in business advisory services, litigation support and forensic accounting. He is a member of the American Institute of Certified Public Accountants and the New Jersey Society of Public Accountants as well as a trustee of that organization. He holds a BS in Accounting from Fairleigh Dickinson University, and both a MBA in Finance and Law Degree (JD) from Seton Hall University. Tim is a member of the New Jersey and American Bar Associations.

Securities and Exchange Commission Recent developments and update - 2019

$49.00

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

National Registry of CPE Sponsors

A Becker Professional Education is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org

Becker Professional Education Sponsor I.D. Numbers NASBA: 107294, New York: 002087, New Jersey: 20CE00226700, Texas: 009580, Ohio: CPE.186, Illinois 158.002405, Pennsylvania: PX177823