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This course provides guidance on responding to SEC proposed actions and to comment letters issued by SEC staff. We provide examples of the process for two proposed actions and responses. We provide five examples of comment letters relating to a filer's 10K, and one each for a 10Q and Proxy Statement.

This course takes some of the mystery out of what can be an intimidating SEC response process.

Learning Objectives

  • Discover the background on the SEC
  • Identify examples of proposed actions of the SEC as it relates to proposed and final rules, PCAOB rulemaking, and concept releases.
  • Recognize how to respond to an SEC Comment letter through the use of real life examples of letters issued by the SEC staff to filers.
  • Discover five examples of letters issued on a 10K, and one example each for a 10Q and Proxy Statement
Last updated/reviewed: May 17, 2018

1 Review (13 ratings)Reviews

3
Anonymous Author
The speaker was difficult to listen to given his speaking style

Prerequisites

Course Complexity: Intermediate

Prerequisite: Exposure to SEC reporting requirements

 

Advanced Preparation: None

 

Education Provider Information

Company:
Illumeo, Inc., 75 East Santa Clara St., Suite 1215, San Jose, CA 95113
Contact:
For more information regarding this course, including complaint and cancellation policies, please contact our offices at (408) 400- 3993 or send an e-mail to .
Course Syllabus
INTRODUCTION AND OVERVIEW
SEC Comment Letters
  4:55Responding to Proposed SEC Actions
  8:25Basis of Review
  6:1010K Filings
  5:0410 K Filings Continued
  5:3310Q and Proxy Filings
CONCLUSION
  3:46Final Thoughts
Continuous Play
  38:09SEC Comment Letters: A Primer for Corporate Finance
SUPPORTING MATERIALS
  PDFSlides: A Primer for Corporate Finance
  PDFA Primer for Corporate Finance Glossary/Index
REVIEW & TEST
  quizREVIEW QUESTIONS
 examFINAL EXAM