Please note that this Workshop will only be offered as a live, interactive webcast via Zoom. Speakers and participants will be participating in the program remotely. Participants will have the ability to interact with faculty and the live remote audience during the Workshop and will have access to all program materials. Attendees will need to download Zoom Client for Meetings Software prior to the program. If you are using a VPN please disconnect from the VPN prior to starting the program.
See Credit Details Below
Overview
Why You Should Attend
This virtual Workshop provides an introduction to SEC reporting and is recommended for those new to the profession. Financial reporting professionals will build the foundational knowledge, skills and tools required to succeed in SEC reporting. Participants will review the various sources of guidance for SEC reporting and will practice researching SEC disclosure questions with exercises from the Form 10-K annual report. This is an interactive Workshop (via Zoom), and open discussion is encouraged through breakout sessions. This Workshop includes online access to PLI’s SEC Reporting Handbook.
Participants who have completed this “101” program or who have prior SEC reporting experience will have the foundational knowledge needed to attend our add-on Essentials Workshops:
• Form 10-K (Part One): Business, Risk Factors & Part I Disclosures Essentials Workshop
• Form 10-K (Part Two): Financial Statements & Parts II, III & IV Disclosures Essentials Workshop
• MD&A SEC Reporting Essentials Workshop
• Form 8-K SEC Reporting Essentials Workshop
• Form 10-Q, Proxy Statement, and Section 16 SEC Reporting Essentials Workshop
What You Will Learn
After completing this Workshop, participants will be able to:
• Use the instructions to the Forms to determine SEC disclosure requirements
• Navigate Regulation S-K to identify non-financial statement disclosure requirements
• Utilize Regulation S-X to determine financial statement requirements
• Research other sources of SEC guidance, including the Financial Reporting Manual, Compliance and Disclosure Interpretations (C&DIs), and Staff Accounting Bulletins (SABs)
• Review recent developments and new rules in SEC reporting, including cybersecurity and insider trading disclosures
• Understand the SEC’s organization and function with a focus on the review process and frequent comment areas
• Apply these sources of SEC guidance to examples from Part One of Form 10-K
What You Should Bring
To customize your Workshop and gain the most benefit from this interactive learning experience, we recommend you have access to your company’s or a client’s most recent Form 10-K. If you work with a company that is not yet public, filings from a company in your industry are a reasonable alternative.
Who Should Attend
SEC reporting professionals new to SEC reporting, including CFOs, controllers and their staff, internal auditors, partners of public accounting firms and their staff, investor relations professionals, audit committee members, and others involved in the preparation or review of SEC filings.
For attorneys, general counsel, in-house counsel and corporate legal staff, we recommend taking our SEC 101 Reporting Essentials for Lawyers Workshop or, for a more in-depth analysis of legal issues in SEC reporting, our two-day intensive SEC Reporting and Practice Skills Workshop for Lawyers.
Program Level
Basic
Prerequisites
None
Advanced Preparation
None
Suggested add-on courses:
Upon completion of this Workshop, you will be ready to apply the SEC’s guidance and continue your learning at our more advanced SEC Reporting Essential Workshops, which build upon this foundational program, including our:
• Form 10-K (Part One): Business, Risk Factors & Part I Disclosures Essentials Workshop
• Form 10-K (Part Two): Financial Statements & Parts II, III & IV Disclosures Essentials Workshop
• MD&A SEC Reporting Essentials Workshop
• Form 8-K SEC Reporting Essentials Workshop
• Form 10-Q, Proxy Statement, and Section 16 SEC Reporting Essentials Workshop
Topics
Industries
Reserve Your Seat
Reserve Your Seat
Course materials will be available to attendees prior to the start of the program
Please note that the views and opinions expressed in this program represent those of individual speakers and do not necessarily reflect the views or positions of PLI.
•••
Credit Details
Credit Details For All Jurisdictions For This Program
| Jurisdiction | Status | Total | Credit Details |
|---|
- May 1, 2025
1:00 PM EDT
An Introduction to the SEC and the Integrated Disclosure System
- Understand the organization and mission of the SEC and the SEC staff
- Use the Integrated Disclosure System to determine disclosure requirements
- Navigate the instructions to the Forms
- Apply Regulation S-K for non-financial statement disclosures
- Utilize Regulation S-X for financial statement requirements
- Locate incremental requirements in the Staff Accounting Bulletins
- Recognize process requirements in the Staff Legal Bulletins
- Practice with example disclosure issues and exercises
1:50 PM EDT
Other SEC Reporting Resources and Tools
This session reviews several important web-based SEC reporting resources. After completing this session, participants will be able to:
- Locate the SEC’s web-based reporting resources
- Research issues in CorpFin’s Financial Reporting Manual
- Enumerate the issues addressed in Disclosure Guidance Topics
- Utilize Compliance and Disclosure Interpretations to answer reporting questions
- Discuss the SEC’s guidance for cybersecurity disclosures
- Practice with example disclosure issues and exercises
2:30 PM EDT
2:45 PM EDT
Other SEC Reporting Resources and Tools (continued)
3:10 PM EDT
The SEC Review Process and Working with the Staff
- Understand the overall objectives and details of the SEC’s filing review process
- Learn the types of comments issued by the SEC
- Discuss how to respond to comments
- Review how to work with the SEC in the filing review process
- Decide when a pre-filing review of a complex issue may be appropriate
