Kral Ussery LLC, Certified Public Accountants
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SEC Hot Buttons and Enforcement Update

SEC Hot Buttons and Enforcement Update 

Complying with regulatory rules and regulations is prudent for companies looking to stay within the good graces of the Securities and Exchange Commission (SEC) and listing exchanges. Learn the latest hot-buttons through recent SEC enforcement actions, speeches and regulatory changes. This training session is ideal for all involved in SEC reporting, from preparers to auditor, to stay abreast of the latest activities. Topics covered include the latest on regulatory risks, enforcement actions, SEC comment letters, SEC speeches and Public Company Accounting Oversight Board (PCAOB) developments. This session is geared towards financial executives, prepares, auditors and audit committee members of public companies looking to stay abreast of SEC and PCAOB activities and trends. Topics include:

  • SEC's mission and structure
  • Recent SEC enforcement actions
  • Disclosure controls and the MD&A
  • Compensation discussion and analysis (CD&A) do's and don'ts
  • Regulatory hot buttons as revealed through SEC speeches
  • FASB developments
  • Off-balance sheet disclosures
  • Non-GAAP financial measures 
  • PCAOB oversight
  • Restatements, material weaknesses and comment letter examples
  • SEC proposals and trends
  • SEC comment letters
  • Cybersecurity risks and controls
Session objectives:
  • Learn the SEC hot buttons through their comment letters
  • Understand what it takes to stay in the good graces of the SEC
  • Enhance awareness of SEC’s objectives and methods
  • Review SEC enforcement actions

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