Bank SEC Reporting & Compliance

Looking to learn how to file the SEC periodic reports for banks and bank holding companies? This seminar provides a sound grounding in SEC reporting and compliance for corporate financial executives and managers of banks and bank holding companies.

It is designed to give participants practical, hands-on experience in what is required to prepare the Form 10-K annual report, Form 10-Q quarterly report, and Form 8-K current report, and the Schedule 14A proxy statement. The course also discusses current key issues on the SEC's agenda including non-GAAP financial measures, the Disclosure Effectiveness Project, trends in Dodd-Frank initiatives, the JOBS Act, trends in SEC comments, and XBRL. The course is similar to our SEC Reporting & Compliance course, except that it emphasizes bank-specific issues including Industry Guide 3 and Article 9 of Regulation S-X, detailing bank-financial statement requirements. Actual bank SEC filings are integrated into the course to demonstrate how regulations are implemented in practice.

In addition to the workbook manual, participants will also receive an SEC Rules and Regulations Manual and gain insight into how to research information.


Register for one or more of our FATCA web-based courses and receive 10% off the purchase price of the Bank SEC Reporting & Compliance seminar.* Instructions for redeeming this premium offer will be provided in the Registration Confirmation email that you will receive upon registering.

5/16-5/17/2017 New York
CPE Credit:
$1,795 **

Venue and Hotel Details


  • The SEC, Its Operations, and Organization
  • Dealing Effectively with SEC Staff
  • XBRL
  • SEC Reporting Using IFRS
  • Developing the Form 10-K Annual Report
  • Form 10-Q Quarterly Report
  • The Item Requirements of Form 10-K, including Industry Guide 3 and Article 9 of Regulation S-X
  • Form 8-K Current Report
  • Proxy Statements

Program Details

Prerequisite:   None
Preparation:   None
Level of Knowledge:   Basic
Field of Study:   Accounting
Delivery Method:   Group Live, Instructor-Led Course

Course Leaders

Mary Anne Busse, Former Senior Counsel in the Division of Corporation Finance at the SEC and currently Managing Director of Great Disclosure. LLC.

Ms. Busse is accompanied by a KPMG Banking Partner.

Course Testimonials

“Overall, a great program! It was timely, relevant, and I was very satisfied with the course. I took a number of things back to my company… ! Thank you!” – Accounting Officer, Public Financial Services Firm

  • Register Early and Save!*
    Reserve your seat in any session before midnight on May 1, 2017 and apply coupon code SPRG17WEBSITE at checkout to receive $100 off the purchase price.
  • Attend Any 2 Executive Education Courses Per Person and Save!*
    Apply coupon code COMBO300 at checkout to receive $300 off the combined purchase price.

    See other courses offered in the same week

  • Discounts Available for Groups of 3 or More!*
    For more information, call 201-505-6062 or email

* Discounts cannot be combined and must be applied at time of initial registration.

** Tuition price includes daily breakfast, lunch, and morning and afternoon refreshments.