1-Hour Program

See Credit Details Below


CPE credit (NASBA QAS Self-Study) is available by completing and passing the program’s CPE Review & Exam.

While this program offers CPE (NASBA) credit, it has expired for CLE credit in many states. Please check the credit details below.  No CLE certificate will be issued if credit has expired in your state.

Upon the successful completion of this program, the participant will be able to:

  • Identify SEC research tools used in answering questions related to Form 10-K and other 1934 Act Reports.
  • Recall SEC reporting questions related to the proxy process and proxy statement.
  • Recognize SEC research skills and tools used in answering questions related to reporting issues in Regulation S-K and S-X and the Annual Report to Shareholders.

Course Overview:

This program will focus on:

  • The instructions to various SEC forms in order to understand disclosure requirements.
  • Regulation S-K and an analysis of non-financial statement disclosure requirements.
  • The use of Regulation S-X for financial statement disclosure requirements.
  • Actual research questions and projects.

Program Level:  Overview 

Intended Audience:  CPAs, accountants, attorneys, and other allied financial professionals who deal with SEC reporting and disclosure, and related issues, including in-house counsel, outside attorneys, chief financial officers (CFOs), controllers and their staff, internal auditors, and partners of public accounting firms and their staff. 

Prerequisites:  A general knowledge of the SEC reporting and research process.  

Advanced Preparation:  None

Instructional Method:  QAS Self-Study

Updated:  May 2021

Credit Information:  1 CPE credit is available upon completion of this program’s 3 content-review questions and a minimum passing score of 70% on the 5-question final exam.

Credit Details

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