Regulating Investment Intermediation

Audit Evidence Part 2

Total Running Time: 25:12

audit documentation, audit file contents and organization, current files, financial statements, permanent files, Sarbanes-Oxley Act, supporting schedules, technology

Audit Evidence Part 2

Audit Reports Part 1

Total Running Time: 31:05

departure from promulgated principle, emphasis of matter, Generally Accepted Accounting Principles (GAAP), internal control over financial reporting, non-public, reports involving other auditors, Sarbanes-Oxley Act, standard unqualified audit report, substantial doubt, US public company

Audit Reports Part 1

Categorizing Financial Markets by Participants

Total Running Time: 06:24

financial markets, Investments, primary markets, secondary markets

Categorizing Financial Markets by Participants

Commercial Bank Regulatory Goals

Total Running Time: 05:48

commercial bank, regulation

Commercial Bank Regulatory Goals

Commercial Banking Risks & Regulations

Total Running Time: 08:20

banking, regulation, risk

Commercial Banking Risks & Regulations

Completing the Audit

Total Running Time: 38:30

advisability of disclosure, auditor concerns, client attorneys, contingent liabilities, dual dating, likelihood of occurrence, management representation letter, presentation and disclosure of audit objectives, Sarbanes-Oxley Act, subsequent events review

Completing the Audit

CPA Profession Part 1

Total Running Time: 23:38

AICPA, Certified Public Accounting Firms, General Corporation (GC), General Partnership (GP), Limited Liability Company (LLC), Limited Liability Partnership (LLP), organizational structure, Professional Corporation (PC), proprietorship, Public Company Accounting Oversight Board (PCAOB), Sarbanes-Oxley Act, Securities and Exchange Commission (SEC)

CPA Profession Part 1

Food and Agriculture Policy

Total Running Time: 13:00

deregulation, Food and Drug, Lochner era, New Deal, regulation

Food and Agriculture Policy

Government as a Stakeholder

Total Running Time: 11:15

Citizens United, conflict of interest, democracy, industry, influence, regulate, regulation, tension

Government as a Stakeholder

Implications of Monopoly

Total Running Time: 30:12

horizontal integration, net impact, public policy, regulation, social cost

Implications of Monopoly

Insurance Companies Overview

Total Running Time: 05:39

insurance companies, regulation

Insurance Companies Overview

Introduction to Finance

Total Running Time: 29:45

Corporate Finance, finance, Financial Decision Process, Financial Institutions and Markets, International Finance, Investments

Introduction to Finance

Monopoly

Total Running Time: 17:44

imperfect competition, regulation

Monopoly

Mutual Funds

Total Running Time: 05:29

money market, mutual funds, regulation

Mutual Funds

Offers I

Total Running Time: 05:06

promotion, regulation, repeat business

Offers I

Securities Firms and Investment Banks

Total Running Time: 01:58

firms, investment banks, securities

Securities Firms and Investment Banks

Securities Fraud Overview

Total Running Time: 06:59

Consumer Protection Act, Dodd Frank Act, Exchange Act, Public Company Accounting Oversight Board (PCAOB), Rule 10b-5, Sarbanes-Oxley Act, Section 10b, Securities Act of 1933

Securities Fraud Overview

Social Control of Behavior

Total Running Time: 10:35

gambling, prohibition, regulation, social control, video games

Social Control of Behavior