2-Day Program

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Overview

Why You Should Attend

Many lawyers learn SEC reporting through on-the-job training, which 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 when the “duty to disclose” arises, 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 Reg FD and Reg G (“non-GAAP financial measures”)
  • How 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 by executives with Section 16 reporting
  • How to write an effective MD&A
  • Latest developments in SEC reporting, including expansion of the smaller reporting company system
  • How to deal with the SEC staff and understand their “hot buttons,” including 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 the current 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

Credit Details

Schedule & Location