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
Instructor
Susan Harper
Susan Harper, Certified Fraud Examiner, began her career as an Internal Revenue Agent with the Internal Revenue Service in 1988. She joined the first Abusive Tax Avoidance Transaction group in 2002 before becoming a Fraud Enforcement Advisor in 2008 through 2021 where she helped other auditors, who identified first indicators of fraud in their examinations. Later, Susan joined Research, Applied Analytics, and Statistics in 2021 and recently retired as the Technical Advisor to the Chief Operating Officer. Susan has been instructing CPE seminars for 25 years and looks forward to interacting with her audience for many years to come.