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.

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:  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.

Credit Details

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