Price range: $116.00 through $136.00
Webcasts are available for viewing Monday – Saturday, 8am – 8pm ET.
Without FlexCast, you must start with enough time to finish. (1 Hr/Credit)
Secure Transaction CPE Credits
4 Credits: Accounting
Course Level
Overview
Format
Self-Study
Course Description
This course provides a practical, two-part overview of the core SEC filings required of U.S. publicly traded companies, beginning with Form 10-K. It covers key regulatory requirements, filing deadlines, and the primary components of the annual report, including the financial statements, MD&A, risk factors, internal controls, and corporate governance disclosures. It then shifts to Form 8-K, offering a clear explanation of its purpose, structure, and disclosure requirements for several common triggering events. The course also discusses how Form 8-K requirements have evolved over time and the role these filings play in keeping investors informed of significant developments between periodic reports.
Learning Objectives
Upon successful completion of this course, participants will be able to:
- Identify the required components of SEC Form 10-K
- Recognize the filing deadlines and their significance for compliance and investor communication
- Distinguish between the roles of various sections of the Form 10-K
- Determine how internal control and risk factor disclosures contribute to regulatory compliance
- Recognize common drafting challenges that impact the quality of Form 10-K filings
- Identify the purpose and structure of SEC Form 8-K as a tool for event-driven disclosure
- Recognize the types of events that typically trigger a Form 8-K filing
- Determine whether a specific transaction or event meets the criteria for Form 8-K disclosure
Course Specifics
SS125445469
October 1, 2025
There are no prerequisites.
None
92
Compliance Information
CMA Notice: Western CPE makes every attempt to maintain our CMA CPE library, to ensure a course meets your continuing education requirements please visit Insitute of Management Accountants (IMA)
CFP Notice: Not all courses that qualify for CFP® credit are registered by Western CPE. If a course does not have a CFP registration number in the compliance section, the continuing education will need to be individually reported with the CFP Board. For more information on the reporting process, required documentation, processing fee, etc., contact the CFP Board. CFP Professionals must take each course in it’s entirety, the CFP Board DOES NOT accept partial credits for courses.
Meet The Experts
Kelen is a recognized author and reviewer of CPE courses and has authored over 145 courses (350+ CPE credit hours) covering a range of accounting, auditing, financial reporting, regulatory, and ethics topics. 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 an Accounting Policy Advisor with HP. Prior to HP, he served in multiple …
QAS Self-Study
