Course ID: ESEC

The Essentials of SEC Financial Reporting

This course covers the fundamentals of SEC financial reporting in just the right amount of depth by a former SEC staff member and author of a leading SEC reference source. Whether you have just become involved in the SEC reporting process, or have been working in the field for years, this course will give you a solid grounding in the principle rules and regulations and their compliance triggers. You will also be brought up-to-date on all the recent developments occurring in this unprecedented period of change.(Available in 4-16 hour formats)

Learning Objectives
  • Examine the principle SEC financial reporting rules and regulations and explore strategies for compliance
  • Review recent developments and get up-to-date

Major Topics
  • Legislative history and overview of the key securities laws
  • Organization structure of the SEC
  • Oversight of the FASB and PCAOB
  • Securities offerings and continuous reporting under the Integrated Disclosure System
  • Regulations S-X and S-K: the key financial reporting regulations common to ’33 and ’34 Act filings
  • The proxy rules and other selected rules and regulations
  • Details of filing ’34 Act form: 10-K, 10-Q and 8-K
  • Registered and exempt securities offerings
  • Insider trading compliance with Section 16 and selective disclosure rules
  • The SEC’s review and comment process, and effectively interacting with the SEC staff
  • Financial reporting and SEC enforcement
  • Overview and applying the rules of MD&A
  • Recent SEC reporting developments

Who Should Attend

Auditors, accountants, financial managers or attorneys of public companies, or companies that may decide to go public in the future

Fields of Study


Experience with SEC reporting

Business Learning Institute

CPE Credits


This course is available for your group as:


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