SEC Reporting

SEC Reporting

CATEGORY: Accounting & Auditing

COURSE ID: CPSECR, VERSION 5.00

(68)

Online & Mobile

6 CPE Credits

Level: Basic

Everyone involved in a company has been put on notice that the public demands increased accountability and transparency in financial reporting. This course covers the basics of periodic reports filed with the Securities and Exchange Commission. The program will start with a review of the Securities Acts of 1933 and 1934, and various other regulations, including Regulations S-X, S-K, and S-B. It will also examine the various parts of Form 10-K and explain the importance of including forward-looking information in the Management's Discussion and Analysis section. Other forms, including Forms 10-Q and 8-K will be reviewed, along with recent Staff Accounting Bulletins, SEC comment letters, and PCAOB developments. This basic level course is most beneficial to professionals new to SEC Reporting requirements who may be at the staff or entry level in organization but also for a seasoned professional with limited exposure to this topic.

6 Credits

$99.00

Online & Mobile

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Securities Statutes
1. Securities Acts of 1933 and 1934 and Securities Offering Reform
2. Other Statutes and the Dodd-Frank Act
Key Regulations
1. Regulation S-X
2. Regulation S-K
3. Regulation S-B
4. Plain English Requirements
Form 10-K
1. Introduction
2. Part I
3. Part II
4. Part III
Form 10-Q
1. Introduction
2. Part I
3. Part II
Form 8-K
1. Introduction
2. Section 1: Registrant's Business and Operations
3. Section 2: Financial Information
4. Section 3: Securities and Trading Markets
5. Section 4: Matters Related to Accountants and Financial Statements
6. Section 5: Corporate Governance and Management
7. Section 7: Regulation FD and Other Events
Proxy Statements
1. Introduction
2. Proxy Solicitation
3. Audit Committee Requirements
4. Disclosures Concerning the Independent Public Accountant
5. Executive Compensation Disclosures
Staff Accounting Bulletins
1. Introduction
2. Revenue Recognition
3. Share-Based Payments
4. Grant Date Issues
5. Materiality
6. SAB No. 109
7. SAB No. 110
8. SAB No. 111
9. SAB No. 112 and SAB No. 113
10. SAB No. 114
11. SAB No. 115
12. SAB No. 116
13. SAB No. 117
14. SAB No. 118
15. SAB No. 119
16. SAB No. 120
17. SAB No. 121
18. SAB No. 122
SEC Comment Letters
1. Comment Letter Process
2. Searching the Archives
PCAOB Developments
1. Introduction
2. PCAOB Auditing Standards
3. PCAOB Implementation Guidance and Staff Audit Practice Alerts
4. Inspections
Dodd-Frank Act
1. Introduction
2. Advisers to Hedge Funds and Other Private Funds
3. Whistleblower Program
4. Oversight and Corporate Governance Issues, Including Executive Compensation Disclosure and Related SRO Rules
5. Study and Recommendation on Section 404(b) of the Sarbanes-Oxley Act of 2002
6. Additional Sections of the Sarbanes-Oxley Act
7. Small Business Lending Rule

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