Securities Fraud
Overview
Workbook
Description
Securities and investment fraud is economically devastating. Those who commit these frauds not only cause economic losses, but they also harm investor confidence, and such effects can carve away at the confidence people have in the global financial markets.
This course explores organizational fraud, investor fraud and advisor fraud. It also provides a historical perspective of financial markets and securities regulations and how they are relevant to investigating today’s securities fraud schemes.
Prerequisites
None
You Will Learn How To:
Compare the regulatory duties of various government agencies and self-regulating organizations (SROs)
Determine the best methods to investigate securities fraud cases
Identify common securities fraud schemes perpetrated by employees, financial advisors, financial institutions and investors
Recall key information about U.S. securities regulations and their history
Recall the details of important securities fraud cases
Recognize the characteristics of securities, securities markets and securities fraud
CPE Information
| CPE Credit: | 12 |
|---|---|
| NASBA Information: | Accounting |
| Advanced Preparation: | None |
| Last Updated: | April 2024 |
| Delivery Method: | QAS Self-Study |
Policies
CPE Credit
Please note: To be eligible for CPE credit, you must complete the final exam within one year of purchase date. You may only claim CPE credit for a course once.
Online CPE Exam Grading
Online grading is available for ACFE self-study workbook courses. Complete the course offline at your convenience, but take the exam online the moment you're ready. Featuring instant exam results and a printable certificate, online grading offers a quick and convenient way to earn CPE.
Benefits of online grading include:
- Instant exam results
- Printable CPE certificate
- Complete the course at your own pace
- Take the exam online the moment you're ready
The Association of Certified Fraud Examiners, Inc. 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/.
Online CPE exam grading available for this course:
Online Grading Guide
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