Securities Fraud
Author: Susan Harper
| CPE Credit: |
2 hours for CPAs |
Delve into the world of Securities Fraud with Susan Harper, Certified Fraud Examiner, and former IRS Internal Revenue Agent of 34 years. This course will explore what constitutes a security, its laws and regulations, but most interesting securities fraud schemes. With 20 years instructing CPE courses, Susan will deliver an entertaining and informative discussion to address securities fraud and the associated consequences. Join the course to learn how to protect your clients from becoming victims of these schemes.
Publication Date: June 2023
Topics Covered
- Definition of a Security
- Securities Laws and Regulations
- Securities Fraud Schemes
- Investigative Tips
- IRS Consequences (Civil & Criminal)
- Case Studies
Learning Objectives
- Identify a Security
- Identify the Laws & Regulations involving Securities
- Recognize Securities Fraud Schemes
Level
Basic
Instructional Method
Self-Study
NASBA Field of Study
Specialized Knowledge and Applications (2 hours)
Program Prerequisites
None
Advance Preparation
None
