The second in our SEC Compliance & Disclosure Series, Master the 10-K and 10-Q is your guide to preparing and filing the SEC's annual Form 10-K and quarterly Form 10-Q, as required by the Exchange Act of 1934. Like its counterpart Master the 8-K, this step-by-step guide draws on the expertise of author Gary M. Brown to deliver clear coverage that highlights areas in which your company can implement or refine its disclosure controls and procedures in order to ensure accurate and timely filings. Key topics include:

  • filing procedures and deadlines
  • signature and certification requirements
  • filing extensions
  • the impact of late filings
  • the "furnished" versus "filed" distinction
  • technical aspects of incorporation by reference
  • special rules for asset-backed issuers
  • exhibit requirements
This standalone guide provides detailed analysis of both forms, as well as their related potential disclosure items, and is enhanced with compliance practice pointers and more than a dozen appendices containing related forms, regulations, and SEC guidance – everything you need to Master the 10-K and 10-Q.
Publication Date: May 2019
ISBN: 978-1-4024-3135-7
Page Count: 730 pages
Number of Volumes: 1