SEC Accounting & Reporting: A Two-Day Boot Camp


This seminar 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.


Basic knowledge of financial accounting and reporting.


No advance preparation required.

Level of Knowledge: 


CPE Credit: 
NASBA Field of Study: