SEC Accounting & Reporting: A Two-Day Boot Camp Self-Study Webcast (22 Hours)


This self-study webinar is an ideal introduction to the SEC world and is an excellent refresher for the seasoned veteran. You will:

  • Learn why, what and when companies must file reports and documents with the SEC
  • Become familiar with the SEC's filing forms and rules
  • See examples of filings and disclosures
  • Understand the process as well as the reporting requirements for securities offerings
  • Learn how to get answers to your questions

To provide you with a thorough overview of the SEC filing and financial reporting requirements and process from the accountant's perspective. You will get insight into the do's and don'ts when preparing your filings, dealing with the SEC staff and learning how to avail yourself of SEC reference materials.

  • The SEC's organizational structure
  • 1934 Act filing requirements: periodic and current event reports; annual report to shareholders; proxy statements
  • Regulation S-X requirements for financial statements
  • Regulation S-K requirements for information outside the financial statements, including Management's Discussion and Analysis and executive compensation
  • SEC staff accounting bulletins and financial reporting releases
  • Non-GAAP financial measures
  • SEC comment letters: how to deal with them and how to avoid them
  • Disclosures for smaller reporting companies
  • Registration and disclosure requirements for public offerings, including IPOs
  • Using the Emerging Growth Companies guidance to accelerate your offerings
  • Securities offerings exempt from registration, including Reg. A+
  • Internal control reporting requirements under the Sarbanes-Oxley Act
  • Researching and resolving SEC issues

Note: In addition to a comprehensive manual, all attendees will receive a copy of the SEC Handbook.

• Identify the legislation that was associated with the stock market collapse of 1929

• Identify the characteristics of the Securities Act of 1933 and the Exchange Act of 1934

• Identify the overriding priority of the SEC

• Recognize the term of SEC Commissioners

• Recognize the SEC division through which most entities have routine interaction

• Identify the SEC division through which newly offered registration statements are reviewed

• Recognize the SEC division responsible for investigation into possible violations of the federal securities laws

• Recognize the SEC division through which oversight of the private sector standards-setting process is done

• Identify the entity recognized by the SEC as the designated accounting standard setter for public companies

• Identify the SEC Office responsible for accounting policy determinations, the form and content of financial statements to be filed with the SEC, and ICFR matters

• Recognize the types of companies required to file annual reports with the SEC pursuant to Sections 13(a) or 15(d) of the Exchange Act

• Identify the threshold for continuing annual reporting to the SEC

• Recognize the thresholds for categorization of reporting companies by the SEC

• Identify the various Forms and their purposes used by registrants when submitting information to the SEC

• Identify the characteristics of the SEC’s integrated disclosure system

• Identify the format of Regulation S-K

• Identify selected Items of Regulation S-K and their requirements

• Recognize the format of Regulation S-X

• Recognize the format of the Prospectus within the Form S-1

• Recognize the format of specified items in Regulation S-K within the Form S-1 Prospectus

• Identify the threshold for Emerging Growth Company (EGC) status

• Identify selected Parts and Items of Form 10-K and their respective reporting role

• Recognize those Parts and Items of Form 10-K not applicable to, or otherwise scaled for Small Reporting Companies (SRCs)

• Identify the annual report to shareholders look back period for the presentation of common stock market prices and dividends

• Identify the contextual placement of a Section 404 reports within the annual report to shareholders

• Recognize the location of guidance for the preparation of the Form 10-Q

• Recognize the filing due date of Form 10-Q for accelerated and non-accelerated filers

• Identify selected Parts and Items of Form 10-Q and their respective reporting role

• Identify those Parts and Items of Form 10-K not applicable to, or otherwise scaled for Small Reporting Companies (SRCs)

• Identify selected Sections and Items of Form 8-K and the circumstances under which they must be reported

• Identify selected sources of SEC guidance and where it may be accessed

• Identify Best Practices for working with SEC staff

• Recognize best practices for working with SEC staff

• Identify the main provisions of the SEC’s proposed climate related disclosures

• Recognize specified characteristics of a SPAC

• Recognize the SEC’s concerns about SPACs


Basic knowledge of financial accounting and reporting.


No advance preparation required.

Level of Knowledge: 


CPE Credit: 
NASBA Field of Study: