1 CPE 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: August 21, 2023
2 Reviews (23 ratings)
Reviews
Anonymous
(CSR)
A great introductory over view of SEC review and how to respond.
Anonymous
(SVP Corporate Controller)
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
.
Randall HylekPresident
About Illumeo
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- Email: info@illumeo.com
- Phone: 408-400-3993
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- Av #221, Campbell, CA 95008
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