myCPE
myCPE

Key SEC Regulations Professionals Should Know About 1.5 Credits

Key SEC Regulations Professionals Should Know About 1.5 Credits

  • Rating

    4.7
  • Published on

    April, 2024
  • Subject Area

    Accounting

Learning mode

E-Book
  • Access the course at your convenience
  • Take the assessment test
  • Get your certificate
  • Attend the live interactive session
  • Answer the polling questions
  • Get your certificate

Learning Objective

  • 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.

Course Overview

For accountants working in a public company, familiarity with key SEC regulations is essential to ensure compliance with financial reporting requirements, maintain transparency, and uphold regulatory standards.  

While there is a seemingly limitless end of SEC regulations out there, having a strong awareness of several of the key regulations will prove beneficial.  In the following sections of this course, we’ll provide a brief overview of some of these key regulations.  Each of these regulations will be further explored and addressed in additional detail in later parts of this course.

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 violate 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.

Join this CPE Accounting course, It also further empowers them to interpret regulatory requirements accurately, implement effective internal controls and risk management practices, and stay abreast of regulatory changes and developments.

Key topics covered:

  • Securities Act of 1933 vs. Securities Exchange Act of 1934
  • Regulation Fair Disclosure (FD)
  • Regulation S-K
  • Regulation S-X

On Demand Credits for All Qualifications

License details Credits Status
Accounting for Certified Public Accountants (CPA-US) 1.5 CPE Approved
Financial Accounting for Certified Internal Auditors (CIA) 1.5 CPE Eligible
Accounting for Certified Management Accountants (CMA) 1.5 CPE Eligible
Accounting for Chartered Financial Analyst (CFA) 1.5 PL Eligible
Accounting for Delaware Licensed Public Accountant (DE-LPA) 1.5 CPE Eligible
Accounting for Certified Government Financial Manager (CGFM) 1.5 CPE Eligible
Accounting for Certified Fraud Examiner (CFE) 1.5 CPE Eligible
Accounting for Internal Audit Practitioner (IAP) 1.5 CPE Eligible
Financial Reporting for Certified Financial Forensics (CFF) 1.5 CPD Eligible
Financial accounting for Certified Valuation Analyst (CVA) 1.5 CPE Eligible
Accounting for Qualification in Internal Audit Leadership (QIAL) 1.5 CPE Eligible
Accounting for Iowa Licensed Public Accountant (IA-LPA) 1.5 CPE Eligible
Accounting for Maine Licensed Public Accountant (ME-LPA) 1.5 CPE Eligible
Accounting for CIPM 1.5 PL Eligible
Financial accounting for Certified Business Appraiser (CBA)/Master Certified Business Appraiser (MCBA) 1.5 CPE Eligible
Financial accounting concepts for Certified FP&A Professional (FP&A) 1.5 CE Eligible
License details Credits Status
Accounting for Certified Public Accountants (CPA-US) 1.5 CPE Approved
Financial Accounting for Certified Internal Auditors (CIA) 1.5 CPE Eligible
Accounting for Certified Management Accountants (CMA) 1.5 CPE Eligible
Accounting for Chartered Financial Analyst (CFA) 1.5 PL Eligible
Accounting for Delaware Licensed Public Accountant (DE-LPA) 1.5 CPE Eligible
Accounting for Certified Government Financial Manager (CGFM) 1.5 CPE Eligible
Accounting for Certified Fraud Examiner (CFE) 1.5 CPE Eligible
Accounting for Internal Audit Practitioner (IAP) 1.5 CPE Eligible
Financial Reporting for Certified Financial Forensics (CFF) 1.5 CPD Eligible
Financial accounting for Certified Valuation Analyst (CVA) 1.5 CPE Eligible
Accounting for Qualification in Internal Audit Leadership (QIAL) 1.5 CPE Eligible
Accounting for Iowa Licensed Public Accountant (IA-LPA) 1.5 CPE Eligible
Accounting for Maine Licensed Public Accountant (ME-LPA) 1.5 CPE Eligible
Accounting for CIPM 1.5 PL Eligible
Financial accounting for Certified Business Appraiser (CBA)/Master Certified Business Appraiser (MCBA) 1.5 CPE Eligible
Financial accounting concepts for Certified FP&A Professional (FP&A) 1.5 CE Eligible

Additional Information

Credits

1.5

Course Level

Basic

Instructional Method

QAS Self Study
Group Internet Based

Pre-requisites

None

Advance Preparation

None

NASBA APPROVED

MY-CPE LLC, 1600 Highway 6 south, suite 250, sugar land, TX, 77478

MY-CPE LLC (Sponsor Id#: 143597) 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.

About Author

Kelen is a recognized author and reviewer of CPE courses and has authored over 150 courses (370+ CPE credit hours) covering a range of accounting, auditing, financial reporting, regulatory, and ethics topics.  His courses are available for purchase from many online CPE providers including the AICPA.  Kelen remained involved in CPA exam content development for nearly 10 years and authored more than a thousand multiple choice questions for various sections of the CPA exam.  He also serves as an Editorial Advisor for the AICPA’s "Journal of Accountancy".    

Kelen has nearly 20 years of progressive finance and accounting experience. He currently serves as a Principal in Accounting Policy with HP in Doha, Qatar.  Prior to HP, he served in multiple accounting roles in the oil & gas industry with ConocoPhillips including technical accounting policy, SOX compliance, and internal audit. He also gained public accounting experience with PricewaterhouseCoopers, working with various clients in the energy, electric, power, gas, and utility sectors.

On Demand FAQs

What is Self Study (QAS)?

Self Study QAS (Quality Assurance Service) is a NASBA and other regulatory bodies approved program designed for Professionals to complete their Continuing Professional Education credits through self-paced, interactive courses that meet the highest standards of quality and compliance. We are approved by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other regulatory bodies.

How do I earn CPE credits through self-study?

To earn CPE credits, you must complete the self-study course, pass the required assessments, and submit the necessary documentation. Credits are awarded based on the completion of course hours and successfully passing the assessments.

Are the self-study courses approved by NASBA and other regulatory bodies?

Yes, all our self-study courses are approved by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other regulatory bodies, ensuring they meet the rigorous standards for quality and educational content set by these organizations.

What are the requirements to maintain compliance with self-study courses?

To maintain compliance, you must follow the guidelines set by NASBA and other regulatory bodies, which include completing the course within the specified timeframe, passing the assessments, and keeping accurate records of your learning activities.

How can I access my course completion certificates?

After successfully completing a self-study course and passing the assessments, you can access and download your course completion certificates from your account dashboard on our platform. These certificates are recognized by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other regulatory bodies for compliance and reporting purposes.

How are credits reported to governing bodies?

We issue instant credit certificates, ensuring they are valid for presentation to governing bodies. Typically, we report IRS, CTEC, CFP, IDFP, IWI, VBOA Ethics credits within 7 days – the fastest in the industry.

Reviews and Ratings

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JB

Jaymie Burkart, CPA (US)
5

I really enjoyed this class. Very informative with straightforward presentation. A good reference tool for future use.

JY

Jia Yao, CPA (US)
5

Great content!

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Inclusions
  • Multiple Credits
    Multiple Credits

    Earn continuing education credits with flexibility. Choose from live webinars, on-demand courses, e-books, or podcasts to fit your learning style and schedule.

  • Certifications & Reporting
    Certifications & Reporting

    We issue instant credit certificates, ensuring they are valid for presentation to governing bodies. Typically, we report IRS, CTEC, CFP, IDFP, IWI, VBOA Ethics credits within 7 days - fastest in the industry.

  • Credit Tracker
    Credit Tracker

    Track and manage your compliance across all 50 states and over 100 designations. Our Credit Tracker keeps your CPE credits and compliance requirements always up-to-date.

  • Certificate Vault
    Certificate Vault

    Certificate Vault to upload, manage, and access certificates earned from various sources and an integrated credit tracker, allowing users to monitor and manage their credits conveniently for compliance.

  • Compliance Reminders
    Compliance Reminders

    Stay current with our automated reminder system. Receive timely alerts for your CPE requirements, ensuring you never miss a deadline.

  • Mobile App Access
    Mobile App Access

    The myCPE Mobile App allows you to learn on the go, providing access to educational content on Android and Apple iOS devices. You can learn anytime and anywhere, making it convenient for busy schedules.

  • Live Support
    Live Support

    Our support team is available via live chat, email, and phone from 9 AM to 5 PM ET. We're here to help with any questions or issues, ensuring you have a seamless experience.

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