1-Hour Program

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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:

  • Recall the structure of Form S-1 and how it is used in registering transactions involving offers or sales of securities to the public.
  • Describe the transaction-related disclosures required in Form S-1.
  • Recognize the company-related disclosures required in Form S-1, including related control requirements in subsequent reporting.

Course Overview:

This program will focus on:

  • The structure and content requirements of Form S-1.
  • Regulation S-K non-financial disclosures required in Form S-1.
  • The financial statement requirements of Regulation S-X for Form S-1.
  • Common problems and SEC comments in the initial public offering (IPO) process.

Program Level:  Overview 

Intended Audience:  CPAs, accountants, attorneys, and other allied financial professionals who deal with SEC reporting and disclosure, and other 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:  None 

Advanced Preparation:  A basic understanding of Form S-1 and the initial public offering (IPO) process.

Instructional Method:  QAS Self-Study

Updated:  July 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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