Understanding SEC Filings (IAR CE)
$
12.50
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
In the financial industry, there are a significant number of reports and forms that must be filed by a wide variety of different entities. This course will examine those that are filed by SEC reporting companies, insiders, issuers of securities, and investment advisers. Readers will learn about the information that can be obtained by reviewing a company’s 10-K and 10-Q filings, the registration forms filed by issuers that are seeking to raise capital, and even the required filings for mutual funds.
Chapter list:
1. Understanding SEC Filings
2. Course Assessment