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 completion of this course, you 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
•    Select the appropriate Form 8-K item based on the nature of the triggering event

To complete this course participants need to: Read the material provided and answer chapter review questions, successfully complete the qualified assessment with a minimum of 70% accuracy to receive your certificate. 

A course evaluation form is provided for your feedback, upon course completion. Participants have 1 year from the date of purchase/enrollment to complete this course 

Our Refund policy can be found at: https://cpeprime.com/cancellation-and-refund/