Course Overview
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
Upon completion of this course, you will be able to:
  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
  Distinguish between requirements included in Regulation S-X and S-K
  Recognize key requirements of the Sarbanes Oxley Act of 2002
 

Revision Date: 3/5/2024

Additional Contents : Complete, no additional material needed
Advance Preparation : None
Intended Participants : Any CPA looking to maintain or enhance their professional competence
Course Declaration : Participants must complete the final examination within one year of purchase. A minimum passing grade of 70% or better is required to receive CPE
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