Key SEC Regulations Accountants Should Know About
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.

Course Publication Date: March 25, 2024

This course is available with NO ADDITIONAL FEE if you have an active self study membership or all access membership or can be purchased for $20.00!

Author:Kelen Camehl
Course No:ACT-SECREGS-26004
Recommended CPE:2.00
Delivery Method:QAS Self Study
Level of Knowledge:Overview
Prerequisites:None
Advanced Preparation:None
Recommended Field of Study:Accounting
  
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.
  • Distinguish between requirements included in Regulation S-X and S-K.
  • Recognize key requirements of the Sarbanes Oxley Act of 2002.

CPE Depot Inc. is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org.

Sponsor Number: 109423

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