Bank SEC Reporting & Compliance

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, trends in SEC comments, and XBRL 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.

5/15-5/16/2019 New York
CPE Credit:
$1,795 **

Venue and Hotel Details


  • 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

Program Details

Prerequisite:   None
Preparation:   None
Level of Knowledge:   Basic
Field of Study:   Accounting
Delivery Method:   Group Live, Instructor-Led Course

Course Leaders

Mary Anne Busse, Former Senior Counsel in the Division of Corporation Finance at the SEC and currently Managing Director of Great Disclosure. LLC.

Ms. Busse is accompanied by a KPMG Banking Partner.

Course Testimonials

“Overall, a great program! It was timely, relevant, and I was very satisfied with the course. I took a number of things back to my company… ! Thank you!” – Accounting Officer, Public Financial Services Firm

  • Register Early and Save!*
    Reserve your seat in any session before midnight on May 1, 2019 and apply coupon code SPRG19WEBSITE at checkout to receive $100 off the purchase price.
  • Attend Any 2 Executive Education Courses Per Person and Save!*
    Apply coupon code COMBO300 at checkout to receive $300 off the combined purchase price.

    See other courses offered in the same week

  • Discounts Available for Groups of 3 or More!*
    For more information, call 201-505-6062 or email

* Discounts cannot be combined and must be applied at time of initial registration.

** Tuition price includes daily breakfast, lunch, and morning and afternoon refreshments.

If you have previously attended this course, you may not be eligible for CPE credits. Please contact KPMG Executive Education to confirm your eligibility.