SEC Reporting

Securities and Exchange Commission: Reporting Requirements v2.0

This course provides an overview of SEC Reporting Requirements. This includes information relating to Forms S-1, S-3, and S-4 that relate to a company's initial registration statement under the Securities Act of 1933. This course also addresses periodic reporting requirements in forms 8-A, 10, 8-K, 10-K, and 10-Q as required by the Securities Act of 1934; the SEC's Financial Reporting Manual; and selected topics relating to SEC Staff Accounting Bulletins.

"Important: This course was previously titled as "Securities and Exchange Commission: Reporting Requirements (Updated)." Please be aware that the content or course code has not changed."

Learning Objectives:

  • Identify significant information required to be included within a company's Form S-1 filing.
  • Identify significant information required to be included in a registrant's periodic reporting requirements.
  • Differentiate between forms filed as a requirement of Regulations S-K and S-X.
  • Identify requirements of public accounting firms with respect to issuers.
  • Recognize various types of non-GAAP financial measures.
  • Recognize key requirements as a result of SEC Staff Accounting Bulletins.

Prerequisites/Advanced Preparation:

Basic knowledge of financial reporting.

Speaker / Author:

John M. Fleming, licensed as a CPA in Pennsylvania, has served as the President and Director of Accounting and Auditing for Kaplan Financial Education, powered by Loscalzo Institute and also as the Director of Content Development for Kaplan Financial Education, powered by SmartPros. John retired from Kaplan in October of 2017. In retirement, John continues to provide seminars as a discussion leader for Kaplan Financial Education on a part-time basis.

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 served as the 1999/2000 President of the 8,300 member Greater Philadelphia Chapter of the Pennsylvania Institute of Certified Public Accountants (PICPA). 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.


Price (USD)

Standard: $49.90


Course Code : 99SEC04-V2

Release Date : 11/25/2021
Expire Date : 11/30/2023
Credits :
CPE 2.00
QAS 2.00

Length : 1hr 40min
Course Level : Basic
Course Type : QAS Self-Study
Passing Grade : 70%
Format Type : eLearning
Mobile Compatible
Field Of Study : Accounting

Theme : SEC Reporting

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