Overview

This Course Handbook was compiled for the program, The SEC Speaks in 2024.

PLI’s nationally acclaimed course handbooks represent the definitive thinking of the nation’s finest legal minds on timely topics and are considered the standard reference in the field. This course handbook is prepared specifically for the program and stands alone as a permanent reference.

Publication Date: June 2024
ISBN: 978-1-4024-4673-3
Page Count: 470 pages
Number of Volumes: 1
Topics
Securities and other financial products Regulation, compliance, and enforcement (Securities and other financial products)
Industries
Securities

Course Handbook

$280.00

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Item # 386753
Contents
  • Chapter 1: Division of Corporation Finance 2024 Course Handbook Materials
  • Chapter 2: U.S. Securities and Exchange Commission, Jessica Wachter, Division of Economics and Risk Analysis, 2023 CFMR Keynote, Finance and the Unexpected (PowerPoint slides)
  • Chapter 3: U.S. Securities and Exchange Commission, Jessica Wachter, Division of Economics and Risk Analysis (April 3, 2024) (PowerPoint slides)
  • Chapter 4: U.S. Securities and Exchange Commission, Division of Examinations, 2024 Examinations Priorities
  • Chapter 5: Division of Trading and Markets 2024 Course Handbook Materials
  • Chapter 6: U.S. Securities and Exchange Commission, Press Release, SEC Announces Enforcement Results for Fiscal Year 2023 (November 14, 2023)
  • Chapter 7: U.S. Securities and Exchange Commission, Staff Statement on Rule 6c-11(c)(1)(i)(C) Regarding Description of Foreign Currency Holdings (January 19, 2024)
  • Chapter 8: U.S. Securities and Exchange Commission, Paul Munter, Office of the Chief Accountant, Public Statement, An Investor Protection Call for a Commitment to Professional Skepticism and Audit Quality (February 5, 2024)
  • Chapter 9: U.S. Securities and Exchange Commission, Paul Munter, Office of the Chief Accountant, Public Statement, The Statement of Cash Flows: Improving the Quality of Cash Flow Information Provided to Investors (December 4, 2023)
  • Chapter 10: U.S. Securities and Exchange Commission, Paul Munter, Office of the Chief Accountant, Public Statement, The Importance of a Comprehensive Risk Assessment by Auditors and Management (August 25, 2023)
  • Chapter 11: U.S. Securities and Exchange Commission, Paul Munter, Office of the Chief Accountant, Public Statement, The Potential Pitfalls of Purported Crypto “Assurance” Work (July 27, 2023)
  • Chapter 12: U.S. Securities and Exchange Commission, Paul Munter, Office of the Chief Accountant, Public Statement, Responsibilities of Lead Auditors to Conduct High-Quality Audits When Involving Other Auditors (March 17, 2023)
  • Chapter 13: U.S. Securities and Exchange Commission, Paul Munter, Office of the Chief Accountant, Public Statement, Accounting Standard Setting in a Rapidly Evolving Business Environment: A Focus on the Timely Delivery of Investor Priorities (February 14, 2023)
  • Chapter 14: U.S. Securities and Exchange Commission, Paul Munter, Office of the Chief Accountant, Public Statement, The Auditor’s Responsibility for Fraud Detection (October 11, 2022)
  • Chapter 15: Judicial and Legislative Cases
  • Chapter 16: Ethics Cases
  • Chapter 17: U.S. Securities and Exchange Commission, Office of the Advocate for Small Business Capital Formation 2024 Course Handbook Material
  • Chapter 18: Office of International Affairs 2024 Course Handbook Materials
  • Index
Authors
Erik GerdingU.S. Securities and Exchange Commission
Gurbir S. GrewalU.S. Securities and Exchange Commission

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