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Free course template · US federal

Records retention & internal controls (SOX)

A ready-made course, live deck and two surveys for finance. AhaSlides tracks progress, completion and scores for you. 35 minutes, 7 lessons, 12-question final check. Last reviewed 8 October 2026; not legal advice.

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The Records retention & internal controls (SOX) course as a learner first sees it (1 of 3)The lesson list of the Records retention & internal controls (SOX) course (2 of 3)A question from the Records retention & internal controls (SOX) feedback survey (3 of 3)

Three pieces that work together

Learners prepare on their own, you answer questions live, and the surveys tell you what stuck. 5 fields to fill in with your own policy, contacts and locations; each one is highlighted inside the course.

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The Records retention & internal controls (SOX) course as a learner first sees it

Completion is tracked for you

Learners sign in to take the course, so every start, finish and score is recorded in AhaSlides. No spreadsheet to keep.

  • Who has finished

    See who has not started, who is in progress and who has completed the course.

  • Every score

    Each learner's result on the 12-question final check, against the 80% pass mark.

  • What landed

    Survey results show what people took away, and the 30-day check-in shows whether they use it.

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7 lessons, about 35 minutes

What learners can do at the end of each lesson. Minutes are an estimate.

  • Lesson 1: Why the rule exists · 5 min

    Explain why SOX exists and what 302 and 404 require.

  • Lesson 2: What's covered · 8 min

    Describe key controls and the control owner's role.

  • Lesson 3: Allowed vs not allowed · 5 min

    Apply the records retention schedule and legal holds.

  • Lesson 4: Red flags & duties · 5 min

    Recognise control failures and red flags of manipulation.

  • Lesson 5: Case practice · 5 min

    Escalate concerns and know whistleblower protections.

  • Lesson 6: Escalate correctly · 2 min

    Practice

  • Lesson 7: Final assessment · 5 min

    12 questions, 80% to pass. The result is saved to the learner's record.

Based on: Sarbanes-Oxley Act ss.302 (officer certifications), 404 (ICFR), 802 (18 U.S.C. 1519 - destroying/falsifying records in f…

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Often taught together

Courses teams often run alongside this one.

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Common questions

Yes. The course, the live deck and both surveys are free. Claiming the template into your AhaSlides account is free too.

The course itself is self-paced and online, and the live deck lets you add a live session. Whether online delivery meets your local rules depends on the law that applies to you, so check Sarbanes-Oxley Act ss.302 or ask your own counsel.

At hire + annually; legal-hold notices as issued.

Finance, accounting, FP&A, IT controls owners, and any employee who creates or approves financial records at a US public company; variant: control owners.

Record completion in your own LMS or record system, so you can show who finished the course and when. Check the retention period that applies to you in Sarbanes-Oxley Act ss.302.

Yes, everything. Change the wording, swap scenarios for ones from your workplace, add your logo, or remove parts that don't apply. Keep anything your own law requires you to cover.

Your own details, each highlighted inside the course:
  • My key controls
  • Retention schedule summary
  • Legal hold contact
  • Audit committee hotline
  • LMS or record system
Then edit anything else you like: wording, scenarios, your logo.
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Ready to run it?

Free. Copy the course, live deck and both surveys into your AhaSlides account in one click.

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