Purchase Course

Introduction to SEC Reporting & Compliance (Live Virtual)   

4

Estimated CPE
Tuition
$795.00
Approximate Length
04:00:00
Course Number
21-VC-702-EE
Course Leader
Mary Anne Busse
4

Estimated CPE
Tuition
$795.00
Approximate Length
04:00:00
Course Number
21-VC-702-EE
Course Leaders
Mary Anne Busse
Course Leader
Mary Anne Busse

Course Details

Geared toward finance professionals who are new to SEC reporting, this live virtual seminar provides a practical introduction to SEC reporting and compliance, with an emphasis on understanding the rules, forms, and SEC guidance. Actual SEC filings and case studies are integrated into the course to demonstrate how the regulations are implemented in practice.

By the end of this course, participants should be able to:

  • describe the SEC, its operations, and organization
  • differentiate between the 1933 Act and 1934 Act
  • recognize and explain the statutes, rules, and forms (10-Q, 10-K, 8-K)
  • recognize the SEC guidance (including comment letters) that is implemented in practice.

Course Leader
Mary Anne Busse, former senior counsel in the Division of Corporation Finance at the SEC and currently managing director of Great Disclosure.

Keywords: SEC, Introduction, 1934 Act, Exchange Act, 1933 Act, Securities Act, Form 10-K, Form 10-Q, Form 8-K, Proxy, Accounting

Session dates & times
To review session specific details, please select the “Purchase Course” button on the righthand side. You will be taken to the Training Details page. Scroll down the page and locate the date you are interested in attending. Click on the session name to view more details, including the full schedule for the session.

Other Details

Special Notice/Instruction:
NASBA Delivery Method: Group Internet Based
Prerequisite:None
Preparation: None
Level of Knowledge: Basic
Field of Study: Accounting
Delivery Method: Virtual Instructor Led Training

Geared toward finance professionals who are new to SEC reporting, this live virtual seminar provides a practical introduction to SEC reporting and compliance, with an emphasis on understanding the rules, forms, and SEC guidance. Actual SEC filings and case studies are integrated into the course to demonstrate how the regulations are implemented in practice.

By the end of this course, participants should be able to:

  • describe the SEC, its operations, and organization
  • differentiate between the 1933 Act and 1934 Act
  • recognize and explain the statutes, rules, and forms (10-Q, 10-K, 8-K)
  • recognize the SEC guidance (including comment letters) that is implemented in practice.

Course Leader
Mary Anne Busse, former senior counsel in the Division of Corporation Finance at the SEC and currently managing director of Great Disclosure.

Keywords: SEC, Introduction, 1934 Act, Exchange Act, 1933 Act, Securities Act, Form 10-K, Form 10-Q, Form 8-K, Proxy, Accounting

Session dates & times
To review session specific details, please select the “Purchase Course” button on the righthand side. You will be taken to the Training Details page. Scroll down the page and locate the date you are interested in attending. Click on the session name to view more details, including the full schedule for the session.

Special Notice/Instruction:
NASBA Delivery Method: Group Internet Based
Prerequisite:None
Preparation: None
Level of Knowledge: Basic
Field of Study: Accounting
Delivery Method: Virtual Instructor Led Training