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Module 4: Recent Information from the SEC

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Course Credit: 0.15 CEU, 1.5 PDH

No formal guidance on reserves definitions or reporting requirements has been issued by the SEC since 2013, and the majority of that guidance was actually provided in October 2009. Reserves filers have come to depend on public presentations by SEC staff members and on exchanges of “comment letters” issued by staff members in which the staff often identifies issues of current concern. Portions of these letter exchanges between staff and reserves filers are made available to the public. This module will present highlights of recent SEC staff presentations and of issues raised in comment letters.
This webinar is part of a series. This four-part webinar series will cover the reserves reporting regulations of the U.S. Securities & Exchange Commission.

Presented by Professor John Lee

Module 1: SEC Reserves Definitions
Module 2: SEC Reserves Reporting Requirements
Module 3: SEC Guidance for Reserves Reporting
Module 4: Recent Information from the SEC

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 1 chapter

Course Chapters

  • 1Module 4: Recent Information from the SEC - Chapter 1
    Media Type: Video


Earn credits by completing this course0.15 CEU credit1.5 PDH credits


John Lee