Presented by a former Assistant Chief Accountant with the SEC’s Division of Corporation Finance, this introductory course provides an overview of the SEC as a federal independent regulatory agency overseeing financial reporting compliance by U.S. exchange listed public companies, the principal federal securities laws applicable to public companies and initial public offering (IPO) candidates, and the SEC’s related principal forms and regulations. The course is designed for finance, accounting and auditing professionals interested in or responsible for SEC compliance and reporting.

Major Topics:

  • Overview of the SEC and its regulatory role, structure and politics
  • Principal federal securities laws for public companies and IPO candidates
  • Principal ‘33 Act registration forms for public companies and IPO candidates
  • Principal ’34 Act periodic reporting forms for public companies
  • Principal regulations, rules and interpretations
  • Filer designations and related statutory reporting deadlines

Intro Video Transcript

SEC Compliance and Reporting An Introductory Overview Welcome to SEC Compliance and Reporting an Introductory Overview. My name is Ronald Kiima. I’m the author and I’ll be your host today. As a matter of background and relevant to this course; I am a former SEC Assistant Chief Accountant. I spent two thirds of a day with the SEC at their headquarters in Washington D.C, spending about eight and a half years in total. During that time I was with the Division of Corporation Finance, which oversees all public company matters in the normal course. The last six and a half years or so, I was an Assistant Chief Account in that division responsible for overseeing a number of industries or sectors. Prior to joining the SEC I spent a number of years with the Audit Practise at the University of Baltimore, doing large SEC registry and Audits. I also spent a period of time as the Managing Shareholder of the Accounting and Audit Practise on the East Coast Regional Firm, and also assisted a recently IPO company on the NASDAQ as the Senior Manager of Compliance Reporting and Special Projects, getting them up to speed. The Table of Contents for the topics that we’ll be covering today: • Commission – Politics and Structure • Principle Federal Securities Laws – Public Companies • Principle ’33 Act Forms – IPO Candidates and Public Companies • Principle ’34 Act Forms – Public Companies • Principle Regulations, Rules and Interpretations – Public Companies • Filter Designations – Reporting Deadlines • Form 10-K Annual Report – Overview • Form 10-Q Quarterly Report – Overview • Form 8-K Current Report – Overview • Schedule 14A Proxy/Information Statement – Overview Starting off with the Commission it’s Politics and Structure First of all, the SEC is an Independent Regulatory Agency; what that basically means is that, they’re not to be politically interfered with in the course of fulfilling of their daily oversight of responsibilities, and I can tell you in my eight and a half years with the SEC, that was largely true. My teams and I ran compliance reviews of the filings made by various public companies and ninety nine percent of the time there was nothing of the way of political influence that got in interjected into the process. The SEC is led by a five member commission, they’re all nominated by the President and the President gets to control three of the five seats for his party. So, currently under President Obama three of the five seats are filled with democratic appointments, the other two have to go outside the party in power, coincidently they happen to be republicans at this point of time. So, you have three democrats and two republicans. When the President nominates a member for the commission, it has to go before the senate for hearing, ultimately we have a vote and that is known as the senate rendering it’s vice and consent, if they prevail the senate hearings in both then they are ultimately seated for a 4-5 year term. Each term is intended to expire five years out on June 30, with each term kind of expiring sequentially so that there is always legacy remaining at the commission. Once a Commissioner’s term expires at the end of the five years, they can be re-nominated for a second five year term which is not unusual. The SEC has a handful of Diversions and their responsibilities are largely segregated. The Diversion that we will be focused on primarily will be the Diversion of Corporal Finance or “Corp Fin” as many people affectionately refer to it. Now, people stop me occasionally and say “Ronald, you were with the SEC, why didn’t they put so and so in jail?” Well, I always have to explain to them that when the SEC was created in 1934, the President in congress only grant the SEC civil enforcement powers. The SEC has never been granted criminal enforcement powers. So, when the SEC believes a sanctioning is warranted, those sanctions are limited to civil measures. This typically would entail things such as: • Penalties and Fines • Interest • The discouragement of many ill-gotten gains • They also routinely, temporarily or permanently bar individuals from ever being associated with a public company in the future. In effect they’re all getting their careers to the private sector. • They can also impose all type of government internal control measures upon a company are real measures in effect. Now, even though the SEC is not interfered with on a daily basis in its normal oversight responsibilities, it’s obviously influenced as all agencies are, through legislation or appropriations. Whatever the President in congress legislates, is the law and the SEC is bound to enforce that and the SEC has a voice in that legislation as its being formulated and deliberated, and more times than not the SEC I think does get the legislation that they believe is in the shareholders best interest. Now, the budgetary appropriation process can have a huge influence on the SEC’s abilities to fulfil its mandate to the extent that there is a pro-regulatory mindset prevailing politically in Washington D.C, the SEC will typically get more appropriations which allows it to get staffing and e a little bit more aggressive to the extent that there’s an anti regulatory trend in Washington D.C then obviously the SEC’s budget would be contracted and that could be a challenge for the SEC in meetings, some of its oversight mandates. Now this is the current composition of the five Commissioners: Democrats: Mary Jo White, ESQ [2013 – Obama Appointed] Luis A. Aquilar, ESQ [2011 – Obama Appointed] [2008 – Bush Appointed] Kara M. Stein, ESQ [2013 – Obama Appointed] Republicans: Daniel M. Gallagher, ESQ [2011 – Obama Appointed] Michael S. Piwowar, Ph.D [2013 – Obama Appointed] You will notice that four of the five currently are securities attorneys or have been securities attorneys and there’s one that is a Ph.D in Economics. Historically that has been the case; the composition of the commission typically has been made up of the investment banker types, security lawyer types and an occasional economist. Historically for reasons that escape me, there has never been as I can recall a recently practising CPA as a member of the commission. I just think that CPA’s such as ourselves are wired, we’re very analytic, we tend to be inquisitive, we ask questions, we challenge things and I think that serves to be disruptive to the political processes and as a consequence the most powerful CPA at the SEC is housed in the Chief Account’s office, which we’ll also be talking about in a second. Commission Structure Now, this is a quick overview schematic of the SEC, it’s headed up as I said with the five member commission. Our focal point will be on the items that I’ve highlighted in red. • Commission • Office of the Chief Accountant • Division of Corporation Finance • Public Companies The Principle Accounting Advisory role to the Commission would be the office of the chief Accountant that houses the Chief Accountant of the SEC, which without a doubt is the most powerful Accountant in the United States and arguably the most powerful Accountant in the world. Then you have his counterpart or her counterpart as the Officer General Counsel that will be the top Legal Cop in the SEC. A few years ago they added as a result of mortgage banking prices and the resulting problems that we had in the economy, a division of economic and risk analysis; in effect it’s an internal think tank where the SEC recruited a lot of renowned specialised or specialists in varies areas that are complex, such, “Exotic Derivatives” they went out and they saw to individuals from Wall Street or Academia that were experts in things like Abetted Derivatives. So, that is the think tank that advises the Commissioner in complex issues and emerging issues, they’re also responsible for being the eyes and ears of the SEC, so they’re supposed to be looking out over the landscape for financial instruments or transactions or structures or the like. Things that could be problematic, things that the existing regulatory oversight is maybe lacking in or trailing in and trying to be proactive to get out of frontal issues versus being reactive. Below that, you see the four principle divisions of the SEC the: Division of Corporation Finance, routinely referred to as Corp Fin. This is the division that I was previously employed with this is the division responsible of overseeing all public company matters in the normal course. Just as a matter of trivia, there’s a division of Investment Management that’s largely responsible for overseeing things such as mutual funds, there’s a division of Trading and Markets which is responsible for typically overseeing most of the Wall Street related matters, the exchanges appropriates and the likes. Then to the far right you’ll see the Division of Enforcement which is probably what you hear most about in the media and that’s because the Division of Enforcement, at least when it pertains to Public Company matters is typically the last leg of a three legged race. Most cases involving accounting and financial reporting matters are made in the Division of Corporation Finance through their compliance oversight reviews and interactions with companies. Once Corp Fin de-tax an accounting problem that they believe rises above the level of acceptability, meaning that there was either gross negligence or some attempt at fraud, the Division of Corporation finance can then make a referral to the Division of Enforcement for the pursuit of civil sanctions. If the Division of Enforcement believes that there’s also a criminal element to that violation then they can correspondingly make a referral to the Department of Justice for criminal pursuit.

Learning Objectives
  • Discover the regulatory responsibilities of the SEC and its principal divisions
  • Discover the basic concepts of the Securities Acts of 1933 and 1934
  • Recognize the differences between SEC Forms S-1, S-3, S-4, 10-K, 10-Q, and 8-K
  • Discover the basic concepts of the SEC Regulations S-K and S-X
  • Identify SEC filer designations and related statutory filing deadlines
Last updated/reviewed: March 15, 2024
155 Reviews (573 ratings)

Reviews

5
Anonymous Author
Very good overview/refresher. Presenter referenced future courses. Disappointed that he does not seem to have any other courses on Illumeo. Listeners to this course should note that it seems to have been created during the Obama admisitration (per a comment made when the presenter discusses the commissioners). Susbequent FASB action (such as creating ASC 606 which led to the SAB 104 that is referenced being superceded) and SEC action (such as modernization of Regulation S-K, such as change to the 5 years of financials in Item 5 of Form 10-K) has made just a few points out of date in this otherwise very good course.

4
Member's Profile
The material covered was expansive as the topic should suggest. I would only recommend this course to those who are unfamiliar with the topic or for those who need a serious brush up. The reason for the aforementioned is the detail to which the overview delves would leave those familiar very, very bored. The presenter is clear and has excellent knowledge and presentation skills with an awesome vernacular. Suggest a cup of coffee with this one as it is long.

5
Anonymous Author
This was a great course. I would highly recommend taking this course for a good summary of required SEC reporting. It provides for a good recap if you are familiar with financial reporting, but also fills in some gaps that you may have missed over the years. The course is comprehensive and allows you to understand the building blocks of SEC reports and then you can go take a deep dive later if more details are needed. Thank you!

5
Anonymous Author
One of the best speakers I've heard here on Illumeo. Clear, concise, obviously knows the information like the back of his hand - that makes it easier to listen to as an audience member. He did not just read off the slides - he used the slides as an outline and gave interesting and succinct insight on each bullet point. This course went from top to bottom in terms of detail but was not burdensome.

5
Anonymous Author
This course served as an excellent overview, particularly for those that don't spend the majority of their day working directly with SEC compliance and reporting. The content was easy to follow and comprehend, including instructor facilitation as well as the supporting course materials. I would recommend this course to others as it was very informative.

5
Anonymous Author
The course was comprehensive and informative. Although basic, it was a very Indepth look at the SEC process. The instructor was experience and knowledgeable of the subject matter. He made it very interesting providing examples of the topic area. No prerequisite was required.

5
Member's Profile
This was one of the most organized, and clearly delineated courses I have taken through Proformative. The speaker's ability to articulate the laws, regulations, forms and detailed filing requirements was exemplary in my opinion, and I really enjoyed taking this course.

5
Member's Profile
This course is very beneficial for the beginners and help them to understand what is SEC reporting requirements. Also, the course can be little elaborated regarding an year or quarter comparison filing of 10-K and 10-Q, otherwise very well explained. Thank You

5
Anonymous Author
As an attorney/employee of a company currently registering with the SEC to enter the public markets, I found this course to be a strong primer on the various reporting requirements and compliance thresholds facing our company's leadership. Highly recommended.

5
Anonymous Author
The instructor was very credible and knowledgeable about the subject matter. He gave a great introduction about the SEC and their responsibilities and also great summaries about each of the main reporting requirements for public companies. Great course!

5
Anonymous Author
The is a very informative course. The way in which the concepts are presented is helpful and it is easy to understand. The instructor was engaging and was able to keep this interesting. This course could be useful across many levels of an organization.

5
Member's Profile
Ronald Kiima is clear and concise in his delivery of this material. I understood the first time I listened, but at the same time, while being concise you need to pay attention to everything being presented or you could miss pertinent details.

5
Member's Profile
I like the instructors examples at the end of each section, it made the material easier to apply to real situation. The instructor was engaging and had a voice with proper tone that kept you engaged. I also like the break between sections.

4
Anonymous Author
Overall a very informative overview/introduction. I would have liked for it to touch on securities laws a little bit, but maybe in a future course. Videos don't have subtitles, but you can pause it if the instructor is talking too fast.

4
Member's Profile
The course was helpful to understand the general landscape of SEC filings. It would be most helpful for External Reporting staff and individuals working in the accounting and reporting groups for private companies about to go public.

5
Anonymous Author
I like this couse. I wish it was longer. The instructor is just brilliant and provides complex topic in easy way. The course is also very logically structured and gives enough information as overall understanding of the SEC reporting.

5
Anonymous Author
The instructor does a great job of providing background on the SEC, and the regulatory filing forms. The overview is great for financial reporting employees to know the specific forms that are needed to be filed with the SEC.

5
Anonymous Author
This is a great topic and the speaker had a great background. I liked that he shared his personal experience with the SEC and it was important to go through all filings in plain english. This is Illumeo's best CPE yet.

5
Member's Profile
This course is a really great overview of public company filing requirements and applicable regulations governing the components of each filing. I'm looking forward to more SEC related content from this instructor.

5
Member's Profile
Fast and thorough overview of the SEC reporting framework. I appreciated the presenter's pace and ability to speak clearly and concisely. Slides were also well presented and can be used as future reference material.

5
Anonymous Author
Course was very organized and insightful. The surprise was the threshold for switching between filing classifications. Any person responsible for the preparation of financial statements for public companies.

5
Member's Profile
Overall a good overview course. Felt it could have delve more into the filing requirements but provided a lot of good examples for each topic mentioned so that you understand the needs on a general basis.

5
Member's Profile
great intro to this field definitely appreciated the recommendation of further education as this presentation is only an intro and will require much more education to put these requirements into action

5
Anonymous Author
This course provided a good overview of SEC Compliance & Reporting in an easy-to-follow format. The course is broken down into mini segments, allowing students to take the course in manageable segments.

5
Member's Profile
I enjoyed listening to this course. I am not very familiar with SEC compliance since most of my career has been in the private sector, this information has enlightened my understanding of SEC compliance.

5
Member's Profile
Although I don't use these forms in my job, it was very interesting and a great introduction to the world of the SEC and financial reporting. Thank you for making it clear and understandable!

5
Member's Profile
Mr Ronald is an excellent and experienced master. He gave me an impression that he is very smart and his logic is clear so it is easy for me to listen to his courses and accept his guidance.

4
Anonymous Author
The course provides a great overview. It is well presented and the time allotted is just about right. The summary included in each section is helpful and highlight the key items very well.

4
Anonymous Author
This was a good overview of the SEC filing process and requirements. The instructors breadth of knowledge is impressive. I would like to hear more detailed classes from Mr. Kiima.

4
Anonymous Author
Enjoyed the background provided before entering into the rules and regulations. This enhanced my understanding. I'll use these course materials for reference purposes going forward.

5
Anonymous Author
The course instructor provides a detailed overview of the topic. The material is laid out in a way that makes it easy to understand and retain the information covered. Very good.

5
Anonymous Author
This is a really good overview of SEC compliance. There is a lot of detail covered in this course. It is basic level. The instructor provides good examples and is very clear.

5
Member's Profile
Excellent overview. I hope Mr. Kiima prepares more courses that dig deeper into the various aspects of SEC reporting & compliance. If so, I would definitely recommend them.

5
Member's Profile
This course was my first exposure to SEC regulations. The instructor gave a great explanation of the rules, regulations, and required forms. Very easy to understand.

5
Member's Profile
I strongly recommend this course to anyone who would like to understand basics of SEC compliance and to anyone who would like to refresh the knowledge on the topic.

4
Member's Profile
This serves as a good introduction to SEC reporting. Probably not useful for people who already have SEC experience, but it is great for anyone new to the subject.

5
Anonymous Author
This course provides an excellent overview of basic knowledge surrounding SEC governance and filings. I found it to be thorough but still quite easy to follow.

5
Anonymous Author
This was a very informative course that provided a great overview of the SEC filing requirements. I recommend it to anyone that works for a public company.

5
Anonymous Author
The instructor is very clear with the information and it is perfect for people who doesn´t have too much knowledge about the SEC Compliance and Reporting.

5
Member's Profile
Good coverage for those not current on the topic. Instructor showed himself to be highly informed and expeditious to cover topic in proper time frame.

4
Member's Profile
Insightful high level overview of various reports, compliance, etc. needed to file with SEC. Great for companies looking to M&A or IPO in the future.

5
Anonymous Author
A great overview packed into an hour presentation. The continuous play has the intro repeated, and a few slides out of order of the attached PDF.

5
Member's Profile
I gained a much greater understanding of critical concepts of the SEC filing requirements and such. This class was very informative and helpful.

5
Anonymous Author
Very good overview. Excellent instructor.

5
Member's Profile
This training provided a comprehensive overview...and even those who are already performing SEC filings would learn something from this course.

5
Anonymous Author
Although the content is dry and objective, the class if very informative and helpful in gaining a basic understanding of how the SEC functions.

5
Anonymous Author
A lot of detail here; a base knowledge of the SEC regulations is helpful going in. The slides do a great job of hitting the high notes.

5
Anonymous Author
Excellent course. Highly recommend this course to someone that has little to no knowledge of SEC Compliance and reporting. Great overview!

5
Member's Profile
Excellent course - great subject matter and provides clarity to the financial closing cycle for the accountant who doesn't close the books.

5
Anonymous Author
Excellent course for those needing an introduction to or a refresher on SeC filing requirements. Moves at a good pace and is thorough.

5
Anonymous Author
Great and concise course with crisp details of the various filings required for public companies at SEC. Very knowledgeable instructor.

5
Member's Profile
Great overview. I have no public company experience and this was a very helpful overview, well organized, and easy to see the patterns

5
Member's Profile
Ronald Kiima has through understanding of this subject. He was clear and concise and delivered the material with excellance. Thank you.

4
Anonymous Author
Great overview of the items that all accountants who work for, or one day want to work for, public companies should be familiar with.

4
Member's Profile
Wow! What a lot of details! Lots of detailed informations and SEC requierements! Good class but hard to remember all those details.

5
Member's Profile
I like that it covered a holistic view of SEC reporting starting with giving a general overview to then diving into the details.

3
Anonymous Author
I like the overview of SEC but when it got into the contents page and talking about what's in the report it became quite dry.

4
Anonymous Author
Good content for an overview. Would have liked to see some visuals to accompany the verbal commentary such as filing images.

4
Anonymous Author
Need to update the course details to include changes through 2020. This is very informative course for beginners like me.

5
Member's Profile
I like the broken up video sections and the summary materials. Made it easy to do and follow along with. Busy calendar.

5
Anonymous Author
This course is an excellent introduction to Forms 10-K, 10-Q and 8-K. It provided a good overview of the various forms.

3
Anonymous Author
The delivery of the material was somewhat dry. I guess you have to really be interested in forms to enjoy this course.

5
Anonymous Author
A very clear and concise yet comprehensive overview of SEC Compliance and Reporting requirements for public companies.

5
Anonymous Author
Very helpful review of SEC compliance and reporting. The instructor did a great job of making this topic interesting!

5
Anonymous Author
A great refresher when hopping from public co. to private co. then back to public co. Comprehensive and condensed.

4
Anonymous Author
I liked the discussion of the content of each form and would like more specific training for my industry (biotech).

5
Member's Profile
Organized presentation on SEC Compliance and Reporting. Also provided good summaries on 10-K, 10Q, and 8K Filings.

5
Anonymous Author
This is very well structured and organized session. The speaker by far is one of the most effective in this site.

5
Member's Profile
wow. When you have experience and you can actually speak well; you have a winning combination. Awesome class.

5
Anonymous Author
Interesting course, a lot of information for people who have not had exposure to the SEC and SEC requirements.

4
Member's Profile
It was informative and gave a good overall understanding of the requirements for a public company reporting.

5
Anonymous Author
Excellent overview for those not familiar with this subject matter. presented clearly and very efficiently.

4
Member's Profile
A great course that taught me the fundamentals of SEC reporting. Would like to see some example documents.

4
Member's Profile
The presenter was very knowledgeable with great relevant information however the presentation was dry.

5
Member's Profile
This was a great training all the way through. Definitely worth the time to learn about this topic

5
Member's Profile
What you would expect for a foundation level course. The questions proved to be a nice refresher.

5
Member's Profile
good wording, nice pictures are used in the slides, well explained examples and great webinar

5
Member's Profile
Excellent summary of SEC reporting. Highly recommend to reinforce current understanding

5
Member's Profile
This course provided a relevant information for the further steps of the SEC compliance.

5
Member's Profile
A great intro to the SEC that was easy to follow and provided a good road map to follow.

4
Anonymous Author
This course provided a good overview of SEC Compliance & Reporting for Public Companies.

5
Member's Profile
Very informative course; lots of useful information. Very well organized and presented.

5
Anonymous Author
Good instruction and well structured course which provided a good overview of the SEC.

5
Member's Profile
Very concise and clearly presented. Clarified a lot of what I know about SEC filings.

4
Anonymous Author
Good presentation, just the facts. Everything you need to know packed into 1.5 hours.

4
Anonymous Author
The instructor was very detailed and informative with his explanation of the subject.

5
Anonymous Author
Great introduction to the SEC compliance. It was very easy to follow and informative.

4
Member's Profile
Good overview for somebody that has no experience in the public company environment.

4
Anonymous Author
Great refresher for professionals wanting to again become familiar with 10K and 10Qs

5
Anonymous Author
n/a..............................................................................

4
Member's Profile
This course was very insightful into SEC workings, operations, and requirements.

4
Member's Profile
Serves as a good introduction to SEC reporting packed into an hour presentation.

5
Anonymous Author
I liked that the course was a comprehensive high level review of all the forms

5
Member's Profile
Great overview of SEC Reporting! I look forward to a more advanced course.

4
Member's Profile
I thought the course was informative for an overview of the public filings.

5
Member's Profile
Please update the course for 2020 and add a course for the new S-K changes.

5
Anonymous Author
Excellent, usefull and well organized course. Imensely enjoy the content.

5
Anonymous Author
Great course. Very detailed. Great trainer. Complicated, but made simple

4
Anonymous Author
Good overview and I think some of the background information is good.

4
Member's Profile
Excellent refresher to SEC filing requirements annually and quarterly

4
Anonymous Author
Good course which covered the relevant fundamentals of SEC Reporting

4
Anonymous Author
good summary but slow start. some info doesn't quite seem relevant

4
Anonymous Author
Excellent overview of SEC compliance and reporting.Informative.

3
Anonymous Author
a nice quick reminder of the general components of SEC Compliance

5
Anonymous Author
Perfect course for an intro to SEC reporting, highly recommended.

5
Anonymous Author
It was a great review. Hope to hear more from this instructor.

5
Member's Profile
Good overview of SEC Compliance and SEC Rules and Regulations.

4
Member's Profile
Good introduction, provided basis for filings & sec structure.

4
Anonymous Author
Liked the clarity, disliked the dullness of the presentation.

5
Anonymous Author
Great presentation that made retention easier than I thought!

3
Member's Profile
Nice introduction to SEC regulations. Also structure of SEC

4
Anonymous Author
good training, no big surprises, the right amount of time.

5
Anonymous Author
Easy to understand high level overview. Enjoyed the course.

5
Member's Profile
Great high-level overview of SEC compliance and Reporting!

5
Anonymous Author
Great class, very clear & detailed discussion & analysis !

5
Anonymous Author
Great overview. Looking forward to more in-depth review.

5
Member's Profile
Good refresher on SEC Reporting and structure of reports

4
Anonymous Author
Great course; easy to follow and understand. Thanks!

5
Anonymous Author
EXCEPT 10-K, could be studed a lot of type of repprt.

4
Member's Profile
Actual 10K, 10Q and 8K reports would be very helpful.

5
Member's Profile
very interesting course, need more like this please

5
Member's Profile
A lot of great information and very well organized.

5
Anonymous Author
Thorough and clear presentation of the concepts!

5
Anonymous Author
Excellent overview by a knowledgeable instructor

5
Member's Profile
Comprehensive and covered a lot, very helpful

4
Member's Profile
Good intro to SEC compliance and reporting

5
Member's Profile
Very informative for a general overview.

5
Member's Profile
Great overview of the SEC filings.

5
Anonymous Author
Great overview of SEC Reporting.

5
Member's Profile
Great course! Very informative.

4
Member's Profile
Tough course for a non-SEC guy

5
Member's Profile
well covered and great insight

4
Anonymous Author
Good overview of SEC Reporting

5
Member's Profile
Great overview/refresher.

4
Anonymous Author
great refresher course.

4
Member's Profile
Good background on SEC

5
Anonymous Author
Great overview course

5
Anonymous Author
Good overview course

5
Anonymous Author
Very detailed notes

5
Member's Profile
Good information.

4
Anonymous Author
Challenging course.

5
Anonymous Author
Very informative!

4
Anonymous Author
Very informative.

4
Member's Profile
Easy to follow

5
Member's Profile
great overview

4
Anonymous Author
good refresher

5
Member's Profile
Very concise.

5
Anonymous Author
Informative!

5
Anonymous Author
Good review.

5
Anonymous Author
Good course

5
Member's Profile
Helpful

4
Anonymous Author
Useful

5
Member's Profile
great

4
Member's Profile
Good

3
Member's Profile
!

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 Questions and Answers(3 Questions)
Member's Profile

Is there a longer course taught by same instructor at low cost?

Member's Profile

Not at this time...sorry

Member's Profile

Not at this time...sorry

Instructor for this course
Course Syllabus
INTRODUCTION AND OVERVIEW
Securities Acts
  Securities Act of 1933 Forms6:27
  Securities Act of 1934 Forms7:22
Regulations and Deadlines
  Principal Regulations, Rules and Interpretations7:39
  Filer Designations and Reporting Deadlines5:53
Forms 10-K and 10-Q
  Form 10-K Parts 1 and 210:44
  Form 10-K Parts 3 and 48:29
  Form 10-Q9:41
Form 8-K
  Form 8-K Sections 1-47:48
  Form 8-K Sections 5-99:33
Continuous Play
  Overview of SEC Compliance & Reporting for Public Companies1:26:54
SUPPORTING MATERIALS
  Slides: SEC Compliance & Reporting for Public CompaniesPDF
  SEC Compliance & Reporting for Public Companies Glossary/IndexPDF
REVIEW & TEST
  REVIEW QUESTIONSquiz
 FINAL EXAMexam