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Overview
Why You Should Attend
Designed for accounting and financial reporting professionals, this Workshop will help you build the foundational knowledge and practical experience necessary to prepare and review the SEC’s periodic and current reporting forms. Participants will learn the structure and details of Forms 10-K, 10-Q, and 8-K, with particular emphasis on challenging and complex disclosures and how to effectively use the SEC’s guidance. Annual proxy requirements and SEC insider trading rules will also be discussed. Frequent SEC comment areas will be reviewed along with example comments. This interactive, in-depth Workshop is perfect for beginners or as a refresher for experienced SEC reporting professionals.
What You Will Learn
After completing this program, participants will be able to:
• Identify and address key disclosure issues in Forms 10-K, 10-Q and 8-K, and the proxy statement
• Apply the SEC’s Integrated Disclosure System, including Regulations S-K and S-X, Staff Accounting Bulletins, and all related guidance
• Discuss the latest developments from the SEC, including accounting and disclosure related to cybersecurity, clawbacks, insider trading policies (10b5-1 plans), climate-related and ESG disclosures, and geo-political risk
• Draft and review an effective MD&A
• Use the definitions of Accelerated Filer, Large Accelerated Filer and Emerging Growth Company and understand the related SOX implications
• Deal with the SEC staff’s “hot-button” issues, including frequent comment areas such as quantified MD&A analysis, non-GAAP measures, revenue recognition and segments
What You Should Bring
To customize your Workshop and gain the most benefit from this interactive learning experience, we recommend you bring your company’s or a client’s most recent SEC filings: 10-K, 10-Q, and a recent 8-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
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 of SEC filings will take away valuable practical information and skills necessary to succeed in the current SEC reporting environment. For attorneys, general counsel, in-house counsel and corporate legal staff, we recommend taking our SEC Reporting and Practice Skills Workshop for Lawyers, for a more in-depth analysis of legal issues in SEC reporting.
Program Level
Basic
Prerequisites
Although geared for beginners, 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