See Credit Details Below
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.
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: June 2020
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.