Purchase Course

Bank SEC Reporting & Compliance   

16

Estimated CPE
Tuition
$1,795.00
Course Number
18-IL-208-EE
Course Leader
Mary Anne Busse
Hotel / Venue Details
View Details
16

Estimated CPE
Tuition
$1,795.00
Course Number
18-IL-208-EE
Course Leader
Mary Anne Busse
Hotel / Venue Details
View Details

Course Details

Financial professionals of public banks and bank holding companies face their own set of unique challenges.

This seminar provides a sound grounding in SEC reporting and compliance for financial professionals of banks and bank holding companies.

Emphasizing bank-specific periodic financial statement requirements, it gives participants practical, hands-on experience preparing annual reports, quarterly reports, current reports, and proxy statements—even as the regulatory requirements change. Course materials are continuously updated to give timely perspectives on current issues on the SEC’s agenda, including non-GAAP disclosures, the Disclosure Effectiveness Project, Dodd-Frank initiatives, the JOBS Act, SEC guidance on the adoption of new account policies and trends in SEC comments. Actual bank SEC filings are integrated into the course to demonstrate how the regulations are implemented in practice, and all participants receive an SEC Rules and Regulations Manual.

Course Agenda

  • The SEC, Its Operations, and Organization
  • Dealing Effectively with SEC Staff
  • XBRL
  • SEC Reporting Using IFRS
  • Developing the Form 10-K Annual Report
  • Form 10-Q Quarterly Report
  • The Item Requirements of Form 10-K, including Industry Guide 3 and Article 9 of Regulation S-X
  • Form 8-K Current Report
  • Proxy Statements
Course Leaders
Mary Anne Busse, Former Senior Counsel in the Division of Corporation Finance at the SEC and currently Managing Director of Great Disclosure.
Ms. Busse is accompanied by a KPMG Banking Partner.

Keywords: Dodd-Frank, SEC, XBRL, IFRS, Proxy Statements, Bank SEC Reporting & Compliance, Accounting

Other Details

Special Notice/Instruction:
NASBA Delivery Method: Group Live
Prerequisite: None
Preparation: None
Level of Knowledge: Basic
Field of Study: Accounting
Delivery Method: Seminar
New York, New York
12/11 - 12/12/2019

Financial professionals of public banks and bank holding companies face their own set of unique challenges.

This seminar provides a sound grounding in SEC reporting and compliance for financial professionals of banks and bank holding companies.

Emphasizing bank-specific periodic financial statement requirements, it gives participants practical, hands-on experience preparing annual reports, quarterly reports, current reports, and proxy statements—even as the regulatory requirements change. Course materials are continuously updated to give timely perspectives on current issues on the SEC’s agenda, including non-GAAP disclosures, the Disclosure Effectiveness Project, Dodd-Frank initiatives, the JOBS Act, SEC guidance on the adoption of new account policies and trends in SEC comments. Actual bank SEC filings are integrated into the course to demonstrate how the regulations are implemented in practice, and all participants receive an SEC Rules and Regulations Manual.

Course Agenda

  • The SEC, Its Operations, and Organization
  • Dealing Effectively with SEC Staff
  • XBRL
  • SEC Reporting Using IFRS
  • Developing the Form 10-K Annual Report
  • Form 10-Q Quarterly Report
  • The Item Requirements of Form 10-K, including Industry Guide 3 and Article 9 of Regulation S-X
  • Form 8-K Current Report
  • Proxy Statements
Course Leaders
Mary Anne Busse, Former Senior Counsel in the Division of Corporation Finance at the SEC and currently Managing Director of Great Disclosure.
Ms. Busse is accompanied by a KPMG Banking Partner.

Keywords: Dodd-Frank, SEC, XBRL, IFRS, Proxy Statements, Bank SEC Reporting & Compliance, Accounting

Special Notice/Instruction:
NASBA Delivery Method: Group Live
Prerequisite: None
Preparation: None
Level of Knowledge: Basic
Field of Study: Accounting
Delivery Method: Seminar

Seminar Brochure

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Locations / Dates


New York, New York
12/11 - 12/12/2019


Seminar Brochure

Click to view, download, print