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Overview
Why You Should Attend
In this virtual Workshop for SEC reporting professionals, using the SEC’s guidance discussed in our SEC 101 Reporting Essentials for Financial Professionals Workshop or the SEC 101 Reporting Essentials for Lawyers Workshop, you will build the practical knowledge base, skills and tools required to prepare and review Current Reports on Form 8-K when and as required by the SEC. Form 8-Ks generally have a four-business day deadline. This somewhat compressed deadline is a potential pitfall, particularly when loss of Securities Act Form S-3 eligibility is one of the results of a delinquent Form 8-K. You will learn how to recognize the triggering events that require a Form 8-K to be filed or furnished, when a voluntary Form 8-K may be appropriate, and which Form 8-K items qualify for the “safe harbor” that preserves a company’s S-3 filing eligibility. In the Workshop the required disclosures and compliance tips for the most frequent Form 8-K Items will be reviewed. This is an interactive Workshop (via Zoom), during which participants are encouraged to participate in Form 8-K practice exercises and discussions intended to enhance and deepen the learning process.
The Workshop includes online access to PLI’s SEC Reporting Handbook.
What You Will Learn
After completing this Workshop, participants will be able to:
• Locate and utilize the Form 8-K instructions to understand the Form’s disclosure requirements
• Recognize the various events that trigger the requirements to file a Form 8-K
• Determine exceptions and modified deadlines for certain Form 8-K Items
• Discern which Form 8-K Items may have update/amendment requirements and which items require iXBRL tagging
• Analyze the circumstances when filing a Form 8-K may be appropriate even though not required
• Determine and understand the important distinction between “filed” versus “furnished” Form 8-Ks
• Design and implement disclosure controls and other corporate processes to timely identify, gather, and process information or events that would trigger the requirement to furnish or file a Form 8-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 SEC Form 8-K filings. 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, including those involved in the preparation or review of financial statements, partners of public accounting firms and their staff, lawyers and corporate legal staff, investor relations professionals, and audit committee members.
Program Level
Basic
Prerequisites
Attendees should have some prior experience with the SEC reporting process. We recommend first attending either the SEC 101 Reporting Essentials for Financial Professionals Workshop or the SEC 101 Reporting Essentials for Lawyers Workshop so that you have the foundational tools and skills necessary for this program.
Advanced Preparation
None
Suggested add-on courses
Continue your learning at these other advanced SEC Reporting Essential 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
• Form 10-Q, Proxy Statement, and Section 16 SEC Reporting Essentials Workshop