Securities Fraud

Securities Fraud  CPE Credits: 12
Course Level: Overview
Prerequisite: None




Perpetrators of securities fraud are responsible for not only a loss of assets, but also the devastation of investor confidence, which can carve away at the respect people have for the global financial markets. The destruction caused by their actions, both emotional and financial, is staggering. In fact, one respected academic study from Stanford Law School reported an annual damage estimate of nearly $700 billion for 2007. In a time when headlines are filled with the stories of Madoff and Stanford, preventing and investigating securities fraud is now more important than ever.

This ACFE self-study course provides an exploration of the four areas of securities fraud, as well as a historical perspective of financial markets and regulations and how it is relevant to investigating today’s securities fraud schemes.    


You Will Learn How To:

Examine key information about the characteristics of securities, securities markets, and securities fraud

Demonstrate knowledge about the history of, and basic concepts underlying, financial markets and investment securities

Recall key information about the development of securities regulation in the United States

Recognize securities fraud schemes that financial institutions or organizations commit against investors

Identify the different types of securities fraud schemes that financial advisors or employees commit against financial organizations

Recognize the ways investors commit securities fraud schemes against financial organizations

Identify securities fraud schemes that financial advisors commit against investors

Investigate incidences of securities fraud and report the results of such efforts


Course preview:  


Table of Contents
Sample Chapter

Field of study: Specialized Knowledge and Applications

Last Updated: April 2014


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Online CPE exam grading available for this course:  

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 exam grading include:
Instant exam results
Printable CPE certificate
Complete the course at your own pace
Take the exam online the moment you're ready 


Click here for instructions on accessing your online exam.


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.