SEC Reporting

Securities Act of 1933 and the Securities Exchange Act of 1934

Course Overview
This course addresses the Securities Acts of 1933 and 1934. The primary purpose of this course is to provide an overview of the two acts sufficient to understand the requirements of each act focusing on registration and disclosure. Part 3 of this SEC series will address the Securities Acts of 1933 and 1934’s financial statement requirements for a registrant as well as the SEC’s Staff Accounting Bulletins (SABs).

Learning Objectives:

After completing this course, the course participant should be able to:

  • Recognize the key provisions of the Securities Act of 1933
  • Recognize the key provisions of the Securities Exchange Act of 1934
  • Differentiate between the various SEC forms required to be filed with the SEC
  • List the different divisions of the SEC
  • Identify the annual and periodic reporting requirements of public companies
  • Recognize key filing deadlines for various SEC forms

  • Prerequisites/Advanced Preparation:

    Basic knowledge of financial reporting

    Speaker / Author:

    John M. Fleming, CPA, MBA, is currently the Director, Content Development for SmartPros LTD, a division of Kaplan Professional Education. SmartPros is an international educational and training company specializing in accounting, finance and ethics educational programs. John previously served as President and Director of Accounting and Auditing for LOSCALZO ASSOCIATES, a division of SmartPros for twenty-eight years. John retired as President of Loscalzo Associates on January 1, 2014.

    John’s prior practice experience includes audit, tax, consulting, office management, and human resource responsibilities with Deloitte LLP, Richard Eisner & Company LLP, and Ernst & Young LLP. John is a graduate of LaSalle and Drexel Universities with degrees in accounting and finance.

    John, a Pennsylvania CPA, served as the 1999/2000 President of the 8,300 member Greater Philadelphia Chapter of the Pennsylvania Institute of Certified Public Accountants (PICPA) and currently serves as a member of the Institute’s Accounting and Auditing Technical Committee. In 2006, the PICPA recognized John as a Joseph E. Sterrett Fellow for his contributions to the accounting profession and in 2007, the Philadelphia Chapter recognized John with their Champion Award for his contributions to the PICPA, Chapter, profession and community. John has also served as the 2002/2003 President of the American Accounting Association’s Mid-Atlantic Region.

    John and his wife Marge live in Medford, New Jersey.

    Price (USD)

    Standard: $49.90


    Course Code : 99SEC02

    Course Level : Basic
    Course Type : QAS Self-Study
    Length : 1hr 40min
    Passing Grade : 70%
    Field Of Study : Accounting
    Theme : SEC Reporting

    Format Type : eLearning
    Mobile Compatible

    Included In

    Returning Subscribers

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