Securities Fraud
Author: Susan Harper
| CPE Credit: |
2 hours for CPAs |
Securities fraud is one of the most damaging white-collar crimes, involving deceptive practices that mislead investors and distort financial markets. From misrepresentation of material facts to complex fraud schemes, these violations can lead to severe civil and criminal consequences.
Join Susan Harper, a seasoned IRS expert with decades of experience in fraud enforcement, for an engaging and practical session. This course will help you identify what constitutes a security, understand the laws and regulations governing securities, and recognize common fraud schemes. You’ll also explore investigative tips and IRS consequences for those involved in fraudulent activities, supported by real-world case studies.
Don’t miss this opportunity to strengthen your ability to detect, prevent, and respond to securities fraud, protecting your clients and your organization from costly risks.
Publication Date: March 2026
Topics Covered
- Definition of a Security
- Securities Laws and Regulations
- Securities Fraud Schemes
- Investigative Tips
- IRS Consequences (Civil & Criminal)
- Case Studies
Learning Objectives
- Define what constitutes a security under U.S. law
- Explain key laws and regulations governing securities
- Identify common securities fraud schemes and red flags
- Assess IRS civil and criminal consequences for fraud violations
- Apply investigative strategies through real-world case studies
Level
Basic
Instructional Method
Self-Study
NASBA Field of Study
Specialized Knowledge and Applications (2 hours)
Program Prerequisites
None
Advance Preparation
None
