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Author: |
Kelen Camehl, CPA, MBA |
Course Length: |
Pages: 32 ||| Word Count: 13,529 ||| Review Questions: 6 ||| Final Exam Questions: 10 |
CPE Credits: |
2.0 |
IRS Credits: |
0 |
Price: |
$17.95 |
Passing Score: |
70% |
Course Type: |
Text |
Technical Designation: |
Technical |
Field Of Study: |
Accounting |
Approved Audience: |
NASBA QAS - NASBA Registry |
Key Takeaways: |
This course provides an overview of key SEC regulations accountants should be familiar with, including the Securities Act of 1933 and the Securities Exchange Act of 1934.
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Frequently Asked Questions: |
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Description: |
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. |
Usage Rank: |
29444 |
Release: |
2024 |
Version: |
1.0 |
Prerequisites: |
None. |
Experience Level: |
Overview |
Additional Contents: |
Complete, no additional material needed. |
Additional Links: |
External: Securities and Exchange Commission (SEC) Defined, How It Works
Internal: Form 10‑K Series: Introduction to SEC Form 10‑K Requirements (Course Id 2408)
Internal: Disclosure Requirements for SEC Form 8‑K (Course Id 2012)
External: Wikipedia - Form 10‑K
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Advance Preparation: |
None. |
Delivery Method: |
QAS Self Study |
Intended Participants: |
Anyone needing Continuing Professional Education (CPE). |
Revision Date: |
15-Jul-2026 |
NASBA Course Declaration: |
Participants must complete the final examination within one year of purchase and with a minimum passing grade of 70% or better to receive CPE credit unless otherwise noted on the Course History page (i.e. California Ethics must score 90% or better). After logging in click on the Course History links on your My Courses page for the Begin date and Expire date for the Final Exam. |
Keywords: |
Key SEC Regulations Accountants Should Know About - CPE course for CPAs |
Learning Objectives: |
Course Learning Objectives Upon completion of this course, you will be able to:
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Course Contents: |
Chapter 1 - Key SEC Regulations Accountants Should Know About Course Learning Objectives Course Overview Introduction Summary of Key SEC Regulations Review Questions Securities Act of 1933 Securities Exchange Act of 1934 Securities Act of 1933 vs. Securities Exchange Act of 1934 Review Questions Regulation S-X Regulation S-K Regulation Fair Disclosure (FD) Sarbanes Oxley Act Conclusion Review Questions Glossary of Key Terms |
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