This course provides an overview of key SEC regulations that accountants should be familiar with. This includes a discussion of the Securities Act of 1933 and the Securities Exchange Act of 1934, as well as specific Regulations including Regulation S-X, Regulation S-K, and Regulation FD.

This course also provides some examples of how companies may be in violation of certain of these Regulations. Finally, this course concludes with a discussion of some of the key requirements of the Sarbanes-Oxley Act which seeks to enhance corporate transparency, accountability, and governance practices.

Learning Objectives
  • Identify key requirements related to the Securities Act of 1933 and Securities Exchange Act of 1934.
  • Recognize specific requirements included in Regulations S-X, S-K, and FD.
  • Discover and distinguish between requirements included in Regulation S-X and S-K.
  • Recognize key requirements of the Sarbanes Oxley Act of 2002.
Last updated/reviewed: March 11, 2024
Prerequisites
Course Complexity: Foundational
No advanced preparation or prerequisites are required for this course.
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 .
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Anonymous
() | Mar 20, 2024

easy to pass

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  Course Overview CPE
Course Syllabus
COURSE MATERIAL
  Key SEC Regulations Accountants Should Know About (Text Based Course)PDF
REVIEW AND TEST
  REVIEW QUESTIONSquiz
 FINAL EXAMexam