Instructional Delivery Method: Group Live-Seminar

CPE Credit and NASBA Field of Study: 16 Hours, Accounting

This two-day, “hands-on” workshop is a must for financial professionals who need to master the required forms of the Securities and Exchange Commission including the 10-K, 10-Q, 8-K, the MD&A, the CD&A, and the Proxy Statement.

This informative workshop is a disciplined, balanced mix of in-class exercises, integrated study aids, case studies and interactive class participation. Attendees will also learn how to use SEC research tools, gain insight about the inner workings of the SEC and learn the latest changes to SEC Guidelines, Rules and Regulations.

  • Reg. S-X, Reg. S-K and SEC Reporting Requirements & Deadlines


  • How to Properly Complete All Items on Form 10K, 10Q and 8K


  • How the SEC is Organized and How to Deal with the SEC Staff


  • Effective SEC Research to Avoid Problems


  • SEC Hot Buttons and Recent Enforcement Actions


  • How to Address SEC Comment Letters


  • MD&A including Pro Forma, Uncertainties & Safe Harbor Guidance


  • Form 8-K and Related Pitfalls to Avoid


  • Sarbanes – Oxley Act’s Impact on SEC Reporting


  • Drafting a “Worry-Free” MD&A


  • Overview of Securities Laws and the Commission


  • How To Conduct SEC Research: Guidelines, Rules and Regulations


  • Regulation S-X and Required Disclosures


  • Form 10-K and 10-Q Preparation and Examples – Comprehensive Workshop


  • Small Business Considerations: Form 10-KSB and Form 10-QSB


  • Form 8-K Triggers, Proxy Statements, SEC Comment Letters and SEC Enforcement Hot Buttons


  • MD&A Form, Content, and Safe Harbors


Who should attend:

  • CFO’s, Treasurers, Controllers, Accounting Staff, Internal and Independent Auditors
  • Financial VPs, Directors, Managers, and Staff
  • Compliance Officers, Securities Regulators, Corporate Counsel & Staff

Prerequisites: None

Program Level: Basic

Advance preparation:
Participants must bring WG&L’s SEC Guidelines latest edition to the seminar

For a comprehensive course description and to view a brochure click a link below:

To register for this In-House Seminar, please fill out this questionnaire to help pinpoint your group's in-house needs, and assist NCCE in putting together a top-notch in-house seminar for your organization.


Cost effective for 10 or more employees. Click here for more information on in-house seminars.

NCCE is only holding in-house seminars right now but NCCE will offer our seminars including SEC Reporting Skills Workshop to the public starting in 2013.


Click here to be put on a notification list for NCCE's public seminars starting in 2013.

The National Center for Continuing Education 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:
For more information regarding administrative policies such as complaint and refund,
please contact our offices at 850-561-6081.

National Center for Continuing Education

967 Briarcliff Drive - Tallahassee, FL - 32308 - Fax: (850) 222-4862

Phone: (850) 561-6081 -