TreatiseTreatise

Master the 8-K

 by Gary M Brown
 
 Copyright: 2017

 Product Details >> 

Product Details

  • ISBN Number: 9781402429798
  • Page Count: 300
  • Number of Volumes: 1
  •  

Master the 8-K is a clear, concise, and comprehensive guide to preparing and filing the SEC’s Form 8-K, as required by the Securities and Exchange Act of 1934, and designing and maintaining effective disclosure controls and procedures required by the Sarbanes-Oxley Act. In this handbook, you will find step-by-step instructions and insider practice tips on:

  • Triggering events and disclosure requirements for every item in Form 8-K
  • The requirements for effective disclosure controls
  • Filing procedures, deadlines, and update requirements
  • The impact of late filings (including a discussion of the “safe harbor”)
  • Potential 8-K “traps” and how to avoid them
  • The “furnished” versus “filed” distinction, the technical aspects of incorporation by reference and exhibits and related liability issues
  Table of Contents
  Background of 8-K Requirements
  General Principles
Chapter 1: Registrant’s Business and Operations
Chapter 2: Financial Information
Chapter 3: Securities and Trading Markets
Chapter 4: Matters Related to Accountants and Financial Statements
Chapter 5: Corporate Governance and Management
Chapter 6: Asset-Backed Securities
Chapter 7: Regulation FD
Chapter 8: Other Events
Chapter 9: Financial Statements and Exhibits
  Appendices
Appendix 1: Current Report on Form 8-K
Appendix 2: Regulation S-K, Item 601
Appendix 3: Regulation G
Appendix 4: Regulation S-K, Item 10(e)
Appendix 5: Regulation FD
Appendix 6: Regulation S-K, Item 401
Appendix 7: Regulation S-K, Item 404
Appendix 8: Regulation AB
Appendix 9: Regulation S-X
Appendix 10: SEC Compliance & Disclosure Interpretations

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