Securities Fraud

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




Securities and investment fraud is economically devastating. Those who commit these frauds not only cause economic losses, but they also harm investor confidence, and such effects can carve away at the confidence people have in the global financial markets.

This course explores organizational fraud, investor fraud and advisor fraud. It also provides a historical perspective of financial markets and securities regulations and how they are relevant to investigating today’s securities fraud schemes.    


You Will Learn How To:

Recognize the characteristics of securities, securities markets and securities fraud

Recall key information about U.S. securities regulations and their history

Identify common securities fraud schemes perpetrated by employees, financial advisors, financial institutions and investors

Determine the best methods to investigate securities fraud cases

Compare the regulatory duties of various government agencies and self-regulating organizations (SROs)

Recall the details of important securities fraud cases


Course preview:  


Table of Contents
Sample Chapter

Field of study: Specialized Knowledge

Last Updated: January 2018


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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.

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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.