1-Hour Program

See Credit Details Below

Overview

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:

  • 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:  June 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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