Please note that this program will only be offered as a live webcast. Speakers will be participating in the program remotely. As always, webcast attendees have access to all program materials, and will be able to view all program slides and submit questions to the speakers during the presentation. We thank you for your understanding as we follow the guidance of local health officials and work to provide a safe learning environment for both attendees and faculty.
See Credit Details Below
Overview
Many lawyers learn SEC reporting through on-the-job training that often is piecemeal at best. This Workshop is intended to replace that ad-hoc learning process by helping participants develop an in-depth understanding of the reporting requirements of the U.S. federal securities laws. Workshop participants will build the foundational knowledge and practical experience necessary to understand, prepare and review periodic and current reports and proxy statements in order to comply with the SEC’s detailed disclosure requirements. Participants will also learn important rules and techniques for communicating with the public, including what triggers the “duty to disclose,” the importance of “insider trading” policies, and the art of drafting disclosure documents and press releases with a view toward limiting potential liability.
This Workshop is also a great refresher for any lawyers who desire to keep their SEC reporting skills up to date.
What You Will Learn
- Key disclosures and issues in Forms 10-K, 10-Q, and 8-K and the proxy statement
- How to communicate with the public within the constraints of the SEC’s rules and guidance, including Regulation FD (“fair disclosure”) and Regulation G (“non-GAAP financial measures”)
- How to implement stock buyback programs (including pursuant to Rules 10b-18 as well as issuer tender offers) and to protect the company and executives from charges of insider trading, including through the use of insider trading policies and Rule 10b5-1 plans
- How to ensure compliance with Section 16 reporting and disclosure requirements
- How to write an effective MD&A
- Latest developments in SEC reporting, including changes from the SEC’s Disclosure Modernization and Simplification rules and other recent and proposed amendments
- How to deal with the SEC staff and understand their “hot-button” issues including disclosures about the impact of COVID-19 and frequent comment areas such as executive compensation, non-GAAP measures, contingencies, cybersecurity, revenue recognition and segments
What You Should Bring
Bring your company’s or a client’s most recent public disclosures: 10-K, 10-Q, recent 8-K, proxy statement and one or more press releases. If you work with a company that is not yet public, filings from a company in the same industry are a reasonable alternative.
Who Should Attend
This Workshop is geared to beginners or as a refresher for experienced SEC reporting professionals. Attorneys, general counsel, in-house counsel and corporate legal staff, investor relations professionals, and others involved in the preparation of SEC filings will take away valuable practical information and skills necessary to satisfy SEC reporting requirements. For accountants and auditors, we recommend taking our "SEC Reporting Skills Workshop for Financial Professionals," which includes a more in-depth analysis of financial reporting issues in SEC reporting.
Program Level: Basic
Intended Audience: Attorneys, general counsel, in-house counsel and corporate legal staff, investor relations professionals, and others involved in the preparation of SEC filings.
Prerequisites: We recommend some prior experience with the SEC reporting process and use of the Instructions to Forms and Regulations S-K and S-X.
Advanced Preparation: None