Seminar  Workshop

SEC Reporting Skills Workshop 2018


Select a Location:

Please see our other locations for July - December 2018 workshops.


Why You Should Attend

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.   

Topics Include

  • Key disclosure issues in Forms 10-K, 10-Q and 8-K, and the proxy statement
  • Understanding the structure and use of the SEC’s Integrated Disclosure System, including Regulations S-K and S-X, Staff Accounting Bulletins and all related guidance
  • Mastering the art of writing an effective MD&A
  • Understanding the SEC staff’s hot-buttons issues, including frequent comment areas such as non-GAAP measures, revenue recognition, the statement of cash flows, segments, and contingencies 

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.

Prerequisites:  None

Preparation:  None

Level of Knowledge: Overview

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Day One: 9:00 a.m. - 5:00 p.m.

9:00 Overview of the SEC's Requirements

  • Learn to use the SEC’s integrated disclosure system, including Regulations S-X and S-K, the Staff Accounting and Staff Legal Bulletins, as a foundation for preparing Forms 10-K, 10-Q, and 8-K
  • Understand how to work with the SEC in the filing review process
  • Explore the mechanics of the filing process and XBRL
  • Learn the definition of “emerging growth companies” and the benefits of being one


10:30 Networking Break

10:45 Overview of the SEC's Requirements (continued)

12:00 Networking Luncheon

12:30 Drafting Your Annual Report on Form 10-K

  • Learn how to prepare Form 10-K
  • Deal with key disclosures and challenges
  • Discuss disclosure controls and their importance in the reporting process


2:15 Networking Break

2:30 Drafting Your Annual Report on Form 10-K (continued)

3:30 The Management's Discussion and Analysis (MD&A) Section and the Private Securities Litigation Reform Act (PSLRA)

  • Prepare and review the MD&A
  • Review the SEC’s guidance for MD&A structure and content
  • Learn key lessons from SEC enforcement actions and frequent SEC comment letter issues
  • Learn to apply the SEC’s guidance for the use of non-GAAP measures
  • Understand the key role of the 1995 Private Securities Litigation Reform Act in protection from liability for forward-looking statements

5:00  Adjourn



Day Two: 8:30 a.m. - 4:00 p.m.

8:30 The Management's Discussion and Analysis (MD&A) Section and the Private Securities Litigation Reform Act (PSLRA) (continued)

10:00 Networking Break

10:15 Financial Statement Requirements of Form 10-K

  • Learn to work with Regulation S-X to assure that financial statements include the additional disclosure requirements of the SEC
  • Understand when additional financial statements may be required
  • Review SEC “hot button” issues
  • Understand the role of the PCAOB


11:45 Networking Luncheon

12:15 Drafting Your Annual Report on Form 10-K (continued)

1:45 Other 1934 Act Reports

  • Drafting Your Quarterly Report on Form 10-Q
    • Learn the requirements for quarterly financial statements
    • Understand the narrative sections of the Form 10-Q
  • Current Reports on Form 8-K
    • Explore which events trigger a Form 8-K filing and what information must be reported
    • Learn the related filing deadlines
    • Review frequently used 8-K items in detail


2:15 Networking Break

2:30 Proxy Statements and Annual Reports to Shareholders

  • Learn the proxy process and information requirements, including the executive compensation disclosures
  • Learn about the new Dodd/Frank requirements/proposals for the pay ratio and pay versus performance disclosures
  • Understand the different information requirements of the proxy statement, annual report to shareholders, and Form 10-K


3:30 Staying Out of Trouble: Insider Trading and Liability Risks for Corporate Officers, Directors and Principal Shareholders

  • Learn the requirements to report officer and director stock transactions on Forms 3, 4 and 5, and how to avoid the short-swing profit rules
  • Understand the risks of insider trading and how to establish a system to reduce risks

 4:00 Adjourn



Instructor(s)
Cheryl L. Linthicum, PhD, CPA, CMA ~ Professor of Accounting and Associate Dean, College of Business, The University of Texas at San Antonio
Program Attorney(s)
Robin D. Goldstein ~ Director & Sr. Program Attorney, PLI

New York City Seminar Location

PLI New York Center
, 1177 Avenue of the Americas, (2nd floor), entrance on 45th Street, New York, New York 10036. (800) 260-4754.

New York City Hotel Accommodations

Crowne Plaza Times Square Manhattan, 1605 Broadway (at 48th Street), New York, NY 10019 (212) 977-4000. When calling, mention Practising Law Institute. You can also make reservations online to access PLI's rates.

The Muse, 130 West 46th Street, New York, NY 10036. Please call reservations at 1-800-546-7866. When calling, please mention Practising Law Institute and rate code PLII. You can also Book Online- Kimpton.

Millennium Broadway Hotel, 145 West 44th Street, New York, NY 10036. Please call reservations at 1-800-622-5569. When calling, please mention Practising Law Institute. You can also book online.

Hyatt Times Square, 135 W. 45th Street, New York, NY 10036. For reservations, please call (646) 364-1234. When calling mention rate code CR56218 or Practising Law Institute.

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Alaska:  All SEC Institute products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Arizona:  SEC Institute’s workshops qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

California:  SEC Institute’s workshops qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All SEC Institute products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Connecticut: Effective January 1, 2017, all SEC Institute products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Delaware:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Florida:  All SEC Institute products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Georgia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Hawaii:  All SEC Institute products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Idaho:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Illinois:  All SEC Institute products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Indiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Iowa:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Kansas:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Louisiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Maine:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Minnesota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Mississippi:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Missouri:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Montana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nebraska:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nevada:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Hampshire:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Jersey:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Mexico:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New York

Experienced Attorneys:  All SEC Institute products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Newly Admitted Attorneys: Select transitional SEC Institute workshops can be used to fulfill the requirements for newly admitted attorneys. Please check the “Credit Information” box on the program page to ensure credit is approved. All credit categories may be earned via transitional SEC Institute workshops.

North Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

North Dakota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Ohio:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oklahoma:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oregon:  All SEC Institute products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Pennsylvania: SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Puerto Rico:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Rhode Island:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

South Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Tennessee:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Texas:  All SEC Institute products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Utah:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Vermont:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Virgin Islands:  All SEC Institute products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Virginia:  SEC Institute’s workshops qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

West Virginia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wisconsin:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wyoming:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.


CPD Jurisdictions

British Columbia (CPD-BC):  SEC Institute’s workshops qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  SEC Institute’s workshops qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  SEC Institute’s workshops can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of points an attorney can earn via workshops.

United Kingdom (CPD-UK):  SEC Institute’s workshops can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  SEC Institute’s workshops qualify as “live” credit in all Australian jurisdictions. There is no limit to the number of credits an attorney can earn via workshops.


Other Credit Types

CPE Credit (NASBA): SEC Institute’s workshops qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE):  SEC Institute’s workshops may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  SEC Institute’s workshops may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  SEC Institute’s workshops may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  SEC Institute’s workshops may fulfill HR credit requirements.

SHRM Recertification (SHRM):  SEC Institute’s workshops qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  SEC Institute’s workshops qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via workshops.

Certified Anti-Money Laundering Specialists (CAMS):  SEC Institute’s workshops may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  SEC Institute’s workshops may fulfill SW CPE credit requirements.

Please see our other locations for July - December 2018 workshops.


Why You Should Attend

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.   

Topics Include

  • Key disclosure issues in Forms 10-K, 10-Q and 8-K, and the proxy statement
  • Understanding the structure and use of the SEC’s Integrated Disclosure System, including Regulations S-K and S-X, Staff Accounting Bulletins and all related guidance
  • Mastering the art of writing an effective MD&A
  • Understanding the SEC staff’s hot-buttons issues, including frequent comment areas such as non-GAAP measures, revenue recognition, the statement of cash flows, segments, and contingencies 

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.

Prerequisites:  None

Preparation:  None

Level of Knowledge: Overview

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Day One: 9:00 a.m. - 5:00 p.m.

9:00 Overview of the SEC's Requirements

  • Learn to use the SEC’s integrated disclosure system, including Regulations S-X and S-K, the Staff Accounting and Staff Legal Bulletins, as a foundation for preparing Forms 10-K, 10-Q, and 8-K
  • Understand how to work with the SEC in the filing review process
  • Explore the mechanics of the filing process and XBRL
  • Learn the definition of “emerging growth companies” and the benefits of being one


10:30 Networking Break

10:45 Overview of the SEC's Requirements (continued)

12:00 Networking Luncheon

12:30 Drafting Your Annual Report on Form 10-K

  • Learn how to prepare Form 10-K
  • Deal with key disclosures and challenges
  • Discuss disclosure controls and their importance in the reporting process


2:15 Networking Break

2:30 Drafting Your Annual Report on Form 10-K (continued)

3:30 The Management's Discussion and Analysis (MD&A) Section and the Private Securities Litigation Reform Act (PSLRA)

  • Prepare and review the MD&A
  • Review the SEC’s guidance for MD&A structure and content
  • Learn key lessons from SEC enforcement actions and frequent SEC comment letter issues
  • Learn to apply the SEC’s guidance for the use of non-GAAP measures
  • Understand the key role of the 1995 Private Securities Litigation Reform Act in protection from liability for forward-looking statements

5:00  Adjourn



Day Two: 8:30 a.m. - 4:00 p.m.

8:30 The Management's Discussion and Analysis (MD&A) Section and the Private Securities Litigation Reform Act (PSLRA) (continued)

10:00 Networking Break

10:15 Financial Statement Requirements of Form 10-K

  • Learn to work with Regulation S-X to assure that financial statements include the additional disclosure requirements of the SEC
  • Understand when additional financial statements may be required
  • Review SEC “hot button” issues
  • Understand the role of the PCAOB


11:45 Networking Luncheon

12:15 Drafting Your Annual Report on Form 10-K (continued)

1:45 Other 1934 Act Reports

  • Drafting Your Quarterly Report on Form 10-Q
    • Learn the requirements for quarterly financial statements
    • Understand the narrative sections of the Form 10-Q
  • Current Reports on Form 8-K
    • Explore which events trigger a Form 8-K filing and what information must be reported
    • Learn the related filing deadlines
    • Review frequently used 8-K items in detail


2:15 Networking Break

2:30 Proxy Statements and Annual Reports to Shareholders

  • Learn the proxy process and information requirements, including the executive compensation disclosures
  • Learn about the new Dodd/Frank requirements/proposals for the pay ratio and pay versus performance disclosures
  • Understand the different information requirements of the proxy statement, annual report to shareholders, and Form 10-K


3:30 Staying Out of Trouble: Insider Trading and Liability Risks for Corporate Officers, Directors and Principal Shareholders

  • Learn the requirements to report officer and director stock transactions on Forms 3, 4 and 5, and how to avoid the short-swing profit rules
  • Understand the risks of insider trading and how to establish a system to reduce risks

 4:00 Adjourn



Instructor(s)
Cheryl L. Linthicum, PhD, CPA, CMA ~ Professor of Accounting and Associate Dean, College of Business, The University of Texas at San Antonio
Program Attorney(s)
Robin D. Goldstein ~ Director & Sr. Program Attorney, PLI

San Francisco Seminar Location

PLI California Center, 685 Market Street, San Francisco, California 94105. (800) 260-4754.

San Francisco Hotel Accommodations

Park Central Hotel, 50 Third Street, San Francisco, CA 94103. 415-974-6400. When calling, please mention PLI and SET#287179. In addition, you may book online at Park Central Hotel PLI.

Omni Hotel San Francisco, 500 California Street, San Francisco, CA 94104. 415-677-9494.  When calling, please mention Practising Law Institute.  You may also book online at PLI Omni Hotel 2017.

Due to high demand we recommend reserving hotel rooms as early as possible.

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Alaska:  All SEC Institute products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Arizona:  SEC Institute’s workshops qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

California:  SEC Institute’s workshops qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All SEC Institute products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Connecticut: Effective January 1, 2017, all SEC Institute products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Delaware:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Florida:  All SEC Institute products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Georgia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Hawaii:  All SEC Institute products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Idaho:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Illinois:  All SEC Institute products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Indiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Iowa:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Kansas:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Louisiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Maine:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Minnesota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Mississippi:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Missouri:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Montana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nebraska:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nevada:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Hampshire:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Jersey:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Mexico:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New York

Experienced Attorneys:  All SEC Institute products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Newly Admitted Attorneys: Select transitional SEC Institute workshops can be used to fulfill the requirements for newly admitted attorneys. Please check the “Credit Information” box on the program page to ensure credit is approved. All credit categories may be earned via transitional SEC Institute workshops.

North Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

North Dakota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Ohio:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oklahoma:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oregon:  All SEC Institute products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Pennsylvania: SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Puerto Rico:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Rhode Island:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

South Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Tennessee:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Texas:  All SEC Institute products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Utah:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Vermont:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Virgin Islands:  All SEC Institute products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Virginia:  SEC Institute’s workshops qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

West Virginia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wisconsin:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wyoming:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.


CPD Jurisdictions

British Columbia (CPD-BC):  SEC Institute’s workshops qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  SEC Institute’s workshops qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  SEC Institute’s workshops can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of points an attorney can earn via workshops.

United Kingdom (CPD-UK):  SEC Institute’s workshops can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  SEC Institute’s workshops qualify as “live” credit in all Australian jurisdictions. There is no limit to the number of credits an attorney can earn via workshops.


Other Credit Types

CPE Credit (NASBA): SEC Institute’s workshops qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE):  SEC Institute’s workshops may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  SEC Institute’s workshops may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  SEC Institute’s workshops may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  SEC Institute’s workshops may fulfill HR credit requirements.

SHRM Recertification (SHRM):  SEC Institute’s workshops qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  SEC Institute’s workshops qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via workshops.

Certified Anti-Money Laundering Specialists (CAMS):  SEC Institute’s workshops may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  SEC Institute’s workshops may fulfill SW CPE credit requirements.

Please see our other locations for July - December 2018 workshops.


Why You Should Attend

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.   

Topics Include

  • Key disclosure issues in Forms 10-K, 10-Q and 8-K, and the proxy statement
  • Understanding the structure and use of the SEC’s Integrated Disclosure System, including Regulations S-K and S-X, Staff Accounting Bulletins and all related guidance
  • Mastering the art of writing an effective MD&A
  • Understanding the SEC staff’s hot-buttons issues, including frequent comment areas such as non-GAAP measures, revenue recognition, the statement of cash flows, segments, and contingencies 

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.

Prerequisites:  None

Preparation:  None

Level of Knowledge: Overview

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Day One: 9:00 a.m. - 5:00 p.m.

9:00 Overview of the SEC's Requirements

  • Learn to use the SEC’s integrated disclosure system, including Regulations S-X and S-K, the Staff Accounting and Staff Legal Bulletins, as a foundation for preparing Forms 10-K, 10-Q, and 8-K
  • Understand how to work with the SEC in the filing review process
  • Explore the mechanics of the filing process and XBRL
  • Learn the definition of “emerging growth companies” and the benefits of being one


10:30 Networking Break

10:45 Overview of the SEC's Requirements (continued)

12:00 Networking Luncheon

12:30 Drafting Your Annual Report on Form 10-K

  • Learn how to prepare Form 10-K
  • Deal with key disclosures and challenges
  • Discuss disclosure controls and their importance in the reporting process


2:15 Networking Break

2:30 Drafting Your Annual Report on Form 10-K (continued)

3:30 The Management's Discussion and Analysis (MD&A) Section and the Private Securities Litigation Reform Act (PSLRA)

  • Prepare and review the MD&A
  • Review the SEC’s guidance for MD&A structure and content
  • Learn key lessons from SEC enforcement actions and frequent SEC comment letter issues
  • Learn to apply the SEC’s guidance for the use of non-GAAP measures
  • Understand the key role of the 1995 Private Securities Litigation Reform Act in protection from liability for forward-looking statements

5:00  Adjourn



Day Two: 8:30 a.m. - 4:00 p.m.

8:30 The Management's Discussion and Analysis (MD&A) Section and the Private Securities Litigation Reform Act (PSLRA) (continued)

10:00 Networking Break

10:15 Financial Statement Requirements of Form 10-K

  • Learn to work with Regulation S-X to assure that financial statements include the additional disclosure requirements of the SEC
  • Understand when additional financial statements may be required
  • Review SEC “hot button” issues
  • Understand the role of the PCAOB


11:45 Networking Luncheon

12:15 Drafting Your Annual Report on Form 10-K (continued)

1:45 Other 1934 Act Reports

  • Drafting Your Quarterly Report on Form 10-Q
    • Learn the requirements for quarterly financial statements
    • Understand the narrative sections of the Form 10-Q
  • Current Reports on Form 8-K
    • Explore which events trigger a Form 8-K filing and what information must be reported
    • Learn the related filing deadlines
    • Review frequently used 8-K items in detail


2:15 Networking Break

2:30 Proxy Statements and Annual Reports to Shareholders

  • Learn the proxy process and information requirements, including the executive compensation disclosures
  • Learn about the new Dodd/Frank requirements/proposals for the pay ratio and pay versus performance disclosures
  • Understand the different information requirements of the proxy statement, annual report to shareholders, and Form 10-K


3:30 Staying Out of Trouble: Insider Trading and Liability Risks for Corporate Officers, Directors and Principal Shareholders

  • Learn the requirements to report officer and director stock transactions on Forms 3, 4 and 5, and how to avoid the short-swing profit rules
  • Understand the risks of insider trading and how to establish a system to reduce risks

 4:00 Adjourn



Instructor(s)
Bob Laux ~ North American Lead, International Integrated Reporting Council
Program Attorney(s)
Robin D. Goldstein ~ Director & Sr. Program Attorney, PLI
Andaz Hotel San Diego, 600 F Street, San Diego, CA 92101

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Alaska:  All SEC Institute products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Arizona:  SEC Institute’s workshops qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

California:  SEC Institute’s workshops qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All SEC Institute products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Connecticut: Effective January 1, 2017, all SEC Institute products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Delaware:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Florida:  All SEC Institute products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Georgia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Hawaii:  All SEC Institute products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Idaho:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Illinois:  All SEC Institute products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Indiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Iowa:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Kansas:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Louisiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Maine:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Minnesota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Mississippi:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Missouri:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Montana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nebraska:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nevada:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Hampshire:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Jersey:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Mexico:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New York

Experienced Attorneys:  All SEC Institute products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Newly Admitted Attorneys: Select transitional SEC Institute workshops can be used to fulfill the requirements for newly admitted attorneys. Please check the “Credit Information” box on the program page to ensure credit is approved. All credit categories may be earned via transitional SEC Institute workshops.

North Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

North Dakota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Ohio:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oklahoma:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oregon:  All SEC Institute products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Pennsylvania: SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Puerto Rico:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Rhode Island:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

South Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Tennessee:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Texas:  All SEC Institute products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Utah:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Vermont:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Virgin Islands:  All SEC Institute products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Virginia:  SEC Institute’s workshops qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

West Virginia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wisconsin:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wyoming:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.


CPD Jurisdictions

British Columbia (CPD-BC):  SEC Institute’s workshops qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  SEC Institute’s workshops qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  SEC Institute’s workshops can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of points an attorney can earn via workshops.

United Kingdom (CPD-UK):  SEC Institute’s workshops can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  SEC Institute’s workshops qualify as “live” credit in all Australian jurisdictions. There is no limit to the number of credits an attorney can earn via workshops.


Other Credit Types

CPE Credit (NASBA): SEC Institute’s workshops qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE):  SEC Institute’s workshops may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  SEC Institute’s workshops may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  SEC Institute’s workshops may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  SEC Institute’s workshops may fulfill HR credit requirements.

SHRM Recertification (SHRM):  SEC Institute’s workshops qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  SEC Institute’s workshops qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via workshops.

Certified Anti-Money Laundering Specialists (CAMS):  SEC Institute’s workshops may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  SEC Institute’s workshops may fulfill SW CPE credit requirements.

Please see our other locations for July - December 2018 workshops.


Why You Should Attend

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.   

Topics Include

  • Key disclosure issues in Forms 10-K, 10-Q and 8-K, and the proxy statement
  • Understanding the structure and use of the SEC’s Integrated Disclosure System, including Regulations S-K and S-X, Staff Accounting Bulletins and all related guidance
  • Mastering the art of writing an effective MD&A
  • Understanding the SEC staff’s hot-buttons issues, including frequent comment areas such as non-GAAP measures, revenue recognition, the statement of cash flows, segments, and contingencies 

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.

Prerequisites:  None

Preparation:  None

Level of Knowledge: Overview

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Day One: 9:00 a.m. - 5:00 p.m.

9:00 Overview of the SEC's Requirements

  • Learn to use the SEC’s integrated disclosure system, including Regulations S-X and S-K, the Staff Accounting and Staff Legal Bulletins, as a foundation for preparing Forms 10-K, 10-Q, and 8-K
  • Understand how to work with the SEC in the filing review process
  • Explore the mechanics of the filing process and XBRL
  • Learn the definition of “emerging growth companies” and the benefits of being one


10:30 Networking Break

10:45 Overview of the SEC's Requirements (continued)

12:00 Networking Luncheon

12:30 Drafting Your Annual Report on Form 10-K

  • Learn how to prepare Form 10-K
  • Deal with key disclosures and challenges
  • Discuss disclosure controls and their importance in the reporting process


2:15 Networking Break

2:30 Drafting Your Annual Report on Form 10-K (continued)

3:30 The Management's Discussion and Analysis (MD&A) Section and the Private Securities Litigation Reform Act (PSLRA)

  • Prepare and review the MD&A
  • Review the SEC’s guidance for MD&A structure and content
  • Learn key lessons from SEC enforcement actions and frequent SEC comment letter issues
  • Learn to apply the SEC’s guidance for the use of non-GAAP measures
  • Understand the key role of the 1995 Private Securities Litigation Reform Act in protection from liability for forward-looking statements

5:00  Adjourn



Day Two: 8:30 a.m. - 4:00 p.m.

8:30 The Management's Discussion and Analysis (MD&A) Section and the Private Securities Litigation Reform Act (PSLRA) (continued)

10:00 Networking Break

10:15 Financial Statement Requirements of Form 10-K

  • Learn to work with Regulation S-X to assure that financial statements include the additional disclosure requirements of the SEC
  • Understand when additional financial statements may be required
  • Review SEC “hot button” issues
  • Understand the role of the PCAOB


11:45 Networking Luncheon

12:15 Drafting Your Annual Report on Form 10-K (continued)

1:45 Other 1934 Act Reports

  • Drafting Your Quarterly Report on Form 10-Q
    • Learn the requirements for quarterly financial statements
    • Understand the narrative sections of the Form 10-Q
  • Current Reports on Form 8-K
    • Explore which events trigger a Form 8-K filing and what information must be reported
    • Learn the related filing deadlines
    • Review frequently used 8-K items in detail


2:15 Networking Break

2:30 Proxy Statements and Annual Reports to Shareholders

  • Learn the proxy process and information requirements, including the executive compensation disclosures
  • Learn about the new Dodd/Frank requirements/proposals for the pay ratio and pay versus performance disclosures
  • Understand the different information requirements of the proxy statement, annual report to shareholders, and Form 10-K


3:30 Staying Out of Trouble: Insider Trading and Liability Risks for Corporate Officers, Directors and Principal Shareholders

  • Learn the requirements to report officer and director stock transactions on Forms 3, 4 and 5, and how to avoid the short-swing profit rules
  • Understand the risks of insider trading and how to establish a system to reduce risks

 4:00 Adjourn



Instructor(s)
Cheryl L. Linthicum, PhD, CPA, CMA ~ Professor of Accounting and Associate Dean, College of Business, The University of Texas at San Antonio
Program Attorney(s)
Robin D. Goldstein ~ Director & Sr. Program Attorney, PLI
Seminar & Hotel Accommodation

The Ritz Carlton, 1 N. Fort Lauderdale Beach Blvd., Ft. Lauderdal, FL. 33304.  A block of rooms has been reserved.  Please contact the hotel directly at 1-800-241-3333 and mention PLI and the name of the prorgam.  The cut off date for the preferred rate is February 23, 2018.

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Alaska:  All SEC Institute products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Arizona:  SEC Institute’s workshops qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

California:  SEC Institute’s workshops qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All SEC Institute products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Connecticut: Effective January 1, 2017, all SEC Institute products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Delaware:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Florida:  All SEC Institute products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Georgia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Hawaii:  All SEC Institute products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Idaho:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Illinois:  All SEC Institute products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Indiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Iowa:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Kansas:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Louisiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Maine:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Minnesota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Mississippi:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Missouri:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Montana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nebraska:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nevada:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Hampshire:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Jersey:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Mexico:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New York

Experienced Attorneys:  All SEC Institute products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Newly Admitted Attorneys: Select transitional SEC Institute workshops can be used to fulfill the requirements for newly admitted attorneys. Please check the “Credit Information” box on the program page to ensure credit is approved. All credit categories may be earned via transitional SEC Institute workshops.

North Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

North Dakota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Ohio:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oklahoma:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oregon:  All SEC Institute products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Pennsylvania: SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Puerto Rico:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Rhode Island:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

South Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Tennessee:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Texas:  All SEC Institute products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Utah:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Vermont:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Virgin Islands:  All SEC Institute products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Virginia:  SEC Institute’s workshops qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

West Virginia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wisconsin:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wyoming:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.


CPD Jurisdictions

British Columbia (CPD-BC):  SEC Institute’s workshops qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  SEC Institute’s workshops qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  SEC Institute’s workshops can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of points an attorney can earn via workshops.

United Kingdom (CPD-UK):  SEC Institute’s workshops can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  SEC Institute’s workshops qualify as “live” credit in all Australian jurisdictions. There is no limit to the number of credits an attorney can earn via workshops.


Other Credit Types

CPE Credit (NASBA): SEC Institute’s workshops qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE):  SEC Institute’s workshops may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  SEC Institute’s workshops may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  SEC Institute’s workshops may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  SEC Institute’s workshops may fulfill HR credit requirements.

SHRM Recertification (SHRM):  SEC Institute’s workshops qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  SEC Institute’s workshops qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via workshops.

Certified Anti-Money Laundering Specialists (CAMS):  SEC Institute’s workshops may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  SEC Institute’s workshops may fulfill SW CPE credit requirements.

Please see our other locations for July - December 2018 workshops.


Why You Should Attend

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.   

Topics Include

  • Key disclosure issues in Forms 10-K, 10-Q and 8-K, and the proxy statement
  • Understanding the structure and use of the SEC’s Integrated Disclosure System, including Regulations S-K and S-X, Staff Accounting Bulletins and all related guidance
  • Mastering the art of writing an effective MD&A
  • Understanding the SEC staff’s hot-buttons issues, including frequent comment areas such as non-GAAP measures, revenue recognition, the statement of cash flows, segments, and contingencies 

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.

Prerequisites:  None

Preparation:  None

Level of Knowledge: Overview

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Day One: 9:00 a.m. - 5:00 p.m.

9:00 Overview of the SEC's Requirements

  • Learn to use the SEC’s integrated disclosure system, including Regulations S-X and S-K, the Staff Accounting and Staff Legal Bulletins, as a foundation for preparing Forms 10-K, 10-Q, and 8-K
  • Understand how to work with the SEC in the filing review process
  • Explore the mechanics of the filing process and XBRL
  • Learn the definition of “emerging growth companies” and the benefits of being one


10:30 Networking Break

10:45 Overview of the SEC's Requirements (continued)

12:00 Networking Luncheon

12:30 Drafting Your Annual Report on Form 10-K

  • Learn how to prepare Form 10-K
  • Deal with key disclosures and challenges
  • Discuss disclosure controls and their importance in the reporting process


2:15 Networking Break

2:30 Drafting Your Annual Report on Form 10-K (continued)

3:30 The Management's Discussion and Analysis (MD&A) Section and the Private Securities Litigation Reform Act (PSLRA)

  • Prepare and review the MD&A
  • Review the SEC’s guidance for MD&A structure and content
  • Learn key lessons from SEC enforcement actions and frequent SEC comment letter issues
  • Learn to apply the SEC’s guidance for the use of non-GAAP measures
  • Understand the key role of the 1995 Private Securities Litigation Reform Act in protection from liability for forward-looking statements

5:00  Adjourn



Day Two: 8:30 a.m. - 4:00 p.m.

8:30 The Management's Discussion and Analysis (MD&A) Section and the Private Securities Litigation Reform Act (PSLRA) (continued)

10:00 Networking Break

10:15 Financial Statement Requirements of Form 10-K

  • Learn to work with Regulation S-X to assure that financial statements include the additional disclosure requirements of the SEC
  • Understand when additional financial statements may be required
  • Review SEC “hot button” issues
  • Understand the role of the PCAOB


11:45 Networking Luncheon

12:15 Drafting Your Annual Report on Form 10-K (continued)

1:45 Other 1934 Act Reports

  • Drafting Your Quarterly Report on Form 10-Q
    • Learn the requirements for quarterly financial statements
    • Understand the narrative sections of the Form 10-Q
  • Current Reports on Form 8-K
    • Explore which events trigger a Form 8-K filing and what information must be reported
    • Learn the related filing deadlines
    • Review frequently used 8-K items in detail


2:15 Networking Break

2:30 Proxy Statements and Annual Reports to Shareholders

  • Learn the proxy process and information requirements, including the executive compensation disclosures
  • Learn about the new Dodd/Frank requirements/proposals for the pay ratio and pay versus performance disclosures
  • Understand the different information requirements of the proxy statement, annual report to shareholders, and Form 10-K


3:30 Staying Out of Trouble: Insider Trading and Liability Risks for Corporate Officers, Directors and Principal Shareholders

  • Learn the requirements to report officer and director stock transactions on Forms 3, 4 and 5, and how to avoid the short-swing profit rules
  • Understand the risks of insider trading and how to establish a system to reduce risks

 4:00 Adjourn



Instructor(s)
Cheryl L. Linthicum, PhD, CPA, CMA ~ Professor of Accounting and Associate Dean, College of Business, The University of Texas at San Antonio
Program Attorney(s)
Robin D. Goldstein ~ Director & Sr. Program Attorney, PLI
Morrison House, 116 S. Alfred Street, Alexandria, VA 22314

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Alaska:  All SEC Institute products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Arizona:  SEC Institute’s workshops qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

California:  SEC Institute’s workshops qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All SEC Institute products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Connecticut: Effective January 1, 2017, all SEC Institute products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Delaware:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Florida:  All SEC Institute products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Georgia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Hawaii:  All SEC Institute products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Idaho:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Illinois:  All SEC Institute products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Indiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Iowa:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Kansas:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Louisiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Maine:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Minnesota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Mississippi:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Missouri:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Montana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nebraska:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nevada:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Hampshire:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Jersey:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Mexico:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New York

Experienced Attorneys:  All SEC Institute products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Newly Admitted Attorneys: Select transitional SEC Institute workshops can be used to fulfill the requirements for newly admitted attorneys. Please check the “Credit Information” box on the program page to ensure credit is approved. All credit categories may be earned via transitional SEC Institute workshops.

North Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

North Dakota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Ohio:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oklahoma:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oregon:  All SEC Institute products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Pennsylvania: SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Puerto Rico:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Rhode Island:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

South Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Tennessee:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Texas:  All SEC Institute products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Utah:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Vermont:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Virgin Islands:  All SEC Institute products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Virginia:  SEC Institute’s workshops qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

West Virginia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wisconsin:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wyoming:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.


CPD Jurisdictions

British Columbia (CPD-BC):  SEC Institute’s workshops qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  SEC Institute’s workshops qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  SEC Institute’s workshops can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of points an attorney can earn via workshops.

United Kingdom (CPD-UK):  SEC Institute’s workshops can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  SEC Institute’s workshops qualify as “live” credit in all Australian jurisdictions. There is no limit to the number of credits an attorney can earn via workshops.


Other Credit Types

CPE Credit (NASBA): SEC Institute’s workshops qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE):  SEC Institute’s workshops may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  SEC Institute’s workshops may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  SEC Institute’s workshops may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  SEC Institute’s workshops may fulfill HR credit requirements.

SHRM Recertification (SHRM):  SEC Institute’s workshops qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  SEC Institute’s workshops qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via workshops.

Certified Anti-Money Laundering Specialists (CAMS):  SEC Institute’s workshops may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  SEC Institute’s workshops may fulfill SW CPE credit requirements.

Please see our other locations for July - December 2018 workshops.


Why You Should Attend

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.   

Topics Include

  • Key disclosure issues in Forms 10-K, 10-Q and 8-K, and the proxy statement
  • Understanding the structure and use of the SEC’s Integrated Disclosure System, including Regulations S-K and S-X, Staff Accounting Bulletins and all related guidance
  • Mastering the art of writing an effective MD&A
  • Understanding the SEC staff’s hot-buttons issues, including frequent comment areas such as non-GAAP measures, revenue recognition, the statement of cash flows, segments, and contingencies 

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.

Prerequisites:  None

Preparation:  None

Level of Knowledge: Overview

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Day One: 9:00 a.m. - 5:00 p.m.

9:00 Overview of the SEC's Requirements

  • Learn to use the SEC’s integrated disclosure system, including Regulations S-X and S-K, the Staff Accounting and Staff Legal Bulletins, as a foundation for preparing Forms 10-K, 10-Q, and 8-K
  • Understand how to work with the SEC in the filing review process
  • Explore the mechanics of the filing process and XBRL
  • Learn the definition of “emerging growth companies” and the benefits of being one


10:30 Networking Break

10:45 Overview of the SEC's Requirements (continued)

12:00 Networking Luncheon

12:30 Drafting Your Annual Report on Form 10-K

  • Learn how to prepare Form 10-K
  • Deal with key disclosures and challenges
  • Discuss disclosure controls and their importance in the reporting process


2:15 Networking Break

2:30 Drafting Your Annual Report on Form 10-K (continued)

3:30 The Management's Discussion and Analysis (MD&A) Section and the Private Securities Litigation Reform Act (PSLRA)

  • Prepare and review the MD&A
  • Review the SEC’s guidance for MD&A structure and content
  • Learn key lessons from SEC enforcement actions and frequent SEC comment letter issues
  • Learn to apply the SEC’s guidance for the use of non-GAAP measures
  • Understand the key role of the 1995 Private Securities Litigation Reform Act in protection from liability for forward-looking statements

5:00  Adjourn



Day Two: 8:30 a.m. - 4:00 p.m.

8:30 The Management's Discussion and Analysis (MD&A) Section and the Private Securities Litigation Reform Act (PSLRA) (continued)

10:00 Networking Break

10:15 Financial Statement Requirements of Form 10-K

  • Learn to work with Regulation S-X to assure that financial statements include the additional disclosure requirements of the SEC
  • Understand when additional financial statements may be required
  • Review SEC “hot button” issues
  • Understand the role of the PCAOB


11:45 Networking Luncheon

12:15 Drafting Your Annual Report on Form 10-K (continued)

1:45 Other 1934 Act Reports

  • Drafting Your Quarterly Report on Form 10-Q
    • Learn the requirements for quarterly financial statements
    • Understand the narrative sections of the Form 10-Q
  • Current Reports on Form 8-K
    • Explore which events trigger a Form 8-K filing and what information must be reported
    • Learn the related filing deadlines
    • Review frequently used 8-K items in detail


2:15 Networking Break

2:30 Proxy Statements and Annual Reports to Shareholders

  • Learn the proxy process and information requirements, including the executive compensation disclosures
  • Learn about the new Dodd/Frank requirements/proposals for the pay ratio and pay versus performance disclosures
  • Understand the different information requirements of the proxy statement, annual report to shareholders, and Form 10-K


3:30 Staying Out of Trouble: Insider Trading and Liability Risks for Corporate Officers, Directors and Principal Shareholders

  • Learn the requirements to report officer and director stock transactions on Forms 3, 4 and 5, and how to avoid the short-swing profit rules
  • Understand the risks of insider trading and how to establish a system to reduce risks

 4:00 Adjourn



Instructor(s)
Bob Laux ~ North American Lead, International Integrated Reporting Council
Program Attorney(s)
Robin D. Goldstein ~ Director & Sr. Program Attorney, PLI
Loews Hotel 1000, 1000 First Avenue, Seattle, WA 98104

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Alaska:  All SEC Institute products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Arizona:  SEC Institute’s workshops qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

California:  SEC Institute’s workshops qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All SEC Institute products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Connecticut: Effective January 1, 2017, all SEC Institute products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Delaware:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Florida:  All SEC Institute products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Georgia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Hawaii:  All SEC Institute products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Idaho:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Illinois:  All SEC Institute products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Indiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Iowa:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Kansas:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Louisiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Maine:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Minnesota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Mississippi:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Missouri:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Montana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nebraska:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nevada:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Hampshire:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Jersey:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Mexico:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New York

Experienced Attorneys:  All SEC Institute products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Newly Admitted Attorneys: Select transitional SEC Institute workshops can be used to fulfill the requirements for newly admitted attorneys. Please check the “Credit Information” box on the program page to ensure credit is approved. All credit categories may be earned via transitional SEC Institute workshops.

North Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

North Dakota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Ohio:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oklahoma:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oregon:  All SEC Institute products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Pennsylvania: SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Puerto Rico:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Rhode Island:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

South Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Tennessee:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Texas:  All SEC Institute products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Utah:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Vermont:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Virgin Islands:  All SEC Institute products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Virginia:  SEC Institute’s workshops qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

West Virginia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wisconsin:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wyoming:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.


CPD Jurisdictions

British Columbia (CPD-BC):  SEC Institute’s workshops qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  SEC Institute’s workshops qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  SEC Institute’s workshops can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of points an attorney can earn via workshops.

United Kingdom (CPD-UK):  SEC Institute’s workshops can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  SEC Institute’s workshops qualify as “live” credit in all Australian jurisdictions. There is no limit to the number of credits an attorney can earn via workshops.


Other Credit Types

CPE Credit (NASBA): SEC Institute’s workshops qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE):  SEC Institute’s workshops may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  SEC Institute’s workshops may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  SEC Institute’s workshops may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  SEC Institute’s workshops may fulfill HR credit requirements.

SHRM Recertification (SHRM):  SEC Institute’s workshops qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  SEC Institute’s workshops qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via workshops.

Certified Anti-Money Laundering Specialists (CAMS):  SEC Institute’s workshops may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  SEC Institute’s workshops may fulfill SW CPE credit requirements.

Please see our other locations for July - December 2018 workshops.


Why You Should Attend

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.   

Topics Include

  • Key disclosure issues in Forms 10-K, 10-Q and 8-K, and the proxy statement
  • Understanding the structure and use of the SEC’s Integrated Disclosure System, including Regulations S-K and S-X, Staff Accounting Bulletins and all related guidance
  • Mastering the art of writing an effective MD&A
  • Understanding the SEC staff’s hot-buttons issues, including frequent comment areas such as non-GAAP measures, revenue recognition, the statement of cash flows, segments, and contingencies 

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.

Prerequisites:  None

Preparation:  None

Level of Knowledge: Overview

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Day One: 9:00 a.m. - 5:00 p.m.

9:00 Overview of the SEC's Requirements

  • Learn to use the SEC’s integrated disclosure system, including Regulations S-X and S-K, the Staff Accounting and Staff Legal Bulletins, as a foundation for preparing Forms 10-K, 10-Q, and 8-K
  • Understand how to work with the SEC in the filing review process
  • Explore the mechanics of the filing process and XBRL
  • Learn the definition of “emerging growth companies” and the benefits of being one


10:30 Networking Break

10:45 Overview of the SEC's Requirements (continued)

12:00 Networking Luncheon

12:30 Drafting Your Annual Report on Form 10-K

  • Learn how to prepare Form 10-K
  • Deal with key disclosures and challenges
  • Discuss disclosure controls and their importance in the reporting process


2:15 Networking Break

2:30 Drafting Your Annual Report on Form 10-K (continued)

3:30 The Management's Discussion and Analysis (MD&A) Section and the Private Securities Litigation Reform Act (PSLRA)

  • Prepare and review the MD&A
  • Review the SEC’s guidance for MD&A structure and content
  • Learn key lessons from SEC enforcement actions and frequent SEC comment letter issues
  • Learn to apply the SEC’s guidance for the use of non-GAAP measures
  • Understand the key role of the 1995 Private Securities Litigation Reform Act in protection from liability for forward-looking statements

5:00  Adjourn



Day Two: 8:30 a.m. - 4:00 p.m.

8:30 The Management's Discussion and Analysis (MD&A) Section and the Private Securities Litigation Reform Act (PSLRA) (continued)

10:00 Networking Break

10:15 Financial Statement Requirements of Form 10-K

  • Learn to work with Regulation S-X to assure that financial statements include the additional disclosure requirements of the SEC
  • Understand when additional financial statements may be required
  • Review SEC “hot button” issues
  • Understand the role of the PCAOB


11:45 Networking Luncheon

12:15 Drafting Your Annual Report on Form 10-K (continued)

1:45 Other 1934 Act Reports

  • Drafting Your Quarterly Report on Form 10-Q
    • Learn the requirements for quarterly financial statements
    • Understand the narrative sections of the Form 10-Q
  • Current Reports on Form 8-K
    • Explore which events trigger a Form 8-K filing and what information must be reported
    • Learn the related filing deadlines
    • Review frequently used 8-K items in detail


2:15 Networking Break

2:30 Proxy Statements and Annual Reports to Shareholders

  • Learn the proxy process and information requirements, including the executive compensation disclosures
  • Learn about the new Dodd/Frank requirements/proposals for the pay ratio and pay versus performance disclosures
  • Understand the different information requirements of the proxy statement, annual report to shareholders, and Form 10-K


3:30 Staying Out of Trouble: Insider Trading and Liability Risks for Corporate Officers, Directors and Principal Shareholders

  • Learn the requirements to report officer and director stock transactions on Forms 3, 4 and 5, and how to avoid the short-swing profit rules
  • Understand the risks of insider trading and how to establish a system to reduce risks

 4:00 Adjourn



Instructor(s)
Cheryl L. Linthicum, PhD, CPA, CMA ~ Professor of Accounting and Associate Dean, College of Business, The University of Texas at San Antonio
Program Attorney(s)
Robin D. Goldstein ~ Director & Sr. Program Attorney, PLI
The Fairmont Hotel, 1717 N. Akard Street, Dallas, TX 75201

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Alaska:  All SEC Institute products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Arizona:  SEC Institute’s workshops qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

California:  SEC Institute’s workshops qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All SEC Institute products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Connecticut: Effective January 1, 2017, all SEC Institute products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Delaware:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Florida:  All SEC Institute products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Georgia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Hawaii:  All SEC Institute products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Idaho:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Illinois:  All SEC Institute products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Indiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Iowa:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Kansas:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Louisiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Maine:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Minnesota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Mississippi:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Missouri:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Montana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nebraska:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nevada:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Hampshire:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Jersey:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Mexico:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New York

Experienced Attorneys:  All SEC Institute products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Newly Admitted Attorneys: Select transitional SEC Institute workshops can be used to fulfill the requirements for newly admitted attorneys. Please check the “Credit Information” box on the program page to ensure credit is approved. All credit categories may be earned via transitional SEC Institute workshops.

North Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

North Dakota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Ohio:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oklahoma:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oregon:  All SEC Institute products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Pennsylvania: SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Puerto Rico:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Rhode Island:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

South Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Tennessee:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Texas:  All SEC Institute products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Utah:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Vermont:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Virgin Islands:  All SEC Institute products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Virginia:  SEC Institute’s workshops qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

West Virginia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wisconsin:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wyoming:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.


CPD Jurisdictions

British Columbia (CPD-BC):  SEC Institute’s workshops qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  SEC Institute’s workshops qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  SEC Institute’s workshops can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of points an attorney can earn via workshops.

United Kingdom (CPD-UK):  SEC Institute’s workshops can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  SEC Institute’s workshops qualify as “live” credit in all Australian jurisdictions. There is no limit to the number of credits an attorney can earn via workshops.


Other Credit Types

CPE Credit (NASBA): SEC Institute’s workshops qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE):  SEC Institute’s workshops may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  SEC Institute’s workshops may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  SEC Institute’s workshops may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  SEC Institute’s workshops may fulfill HR credit requirements.

SHRM Recertification (SHRM):  SEC Institute’s workshops qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  SEC Institute’s workshops qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via workshops.

Certified Anti-Money Laundering Specialists (CAMS):  SEC Institute’s workshops may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  SEC Institute’s workshops may fulfill SW CPE credit requirements.

Please see our other locations for July - December 2018 workshops.


Why You Should Attend

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.   

Topics Include

  • Key disclosure issues in Forms 10-K, 10-Q and 8-K, and the proxy statement
  • Understanding the structure and use of the SEC’s Integrated Disclosure System, including Regulations S-K and S-X, Staff Accounting Bulletins and all related guidance
  • Mastering the art of writing an effective MD&A
  • Understanding the SEC staff’s hot-buttons issues, including frequent comment areas such as non-GAAP measures, revenue recognition, the statement of cash flows, segments, and contingencies 

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.

Prerequisites:  None

Preparation:  None

Level of Knowledge: Overview

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Day One: 9:00 a.m. - 5:00 p.m.

9:00 Overview of the SEC's Requirements

  • Learn to use the SEC’s integrated disclosure system, including Regulations S-X and S-K, the Staff Accounting and Staff Legal Bulletins, as a foundation for preparing Forms 10-K, 10-Q, and 8-K
  • Understand how to work with the SEC in the filing review process
  • Explore the mechanics of the filing process and XBRL
  • Learn the definition of “emerging growth companies” and the benefits of being one


10:30 Networking Break

10:45 Overview of the SEC's Requirements (continued)

12:00 Networking Luncheon

12:30 Drafting Your Annual Report on Form 10-K

  • Learn how to prepare Form 10-K
  • Deal with key disclosures and challenges
  • Discuss disclosure controls and their importance in the reporting process


2:15 Networking Break

2:30 Drafting Your Annual Report on Form 10-K (continued)

3:30 The Management's Discussion and Analysis (MD&A) Section and the Private Securities Litigation Reform Act (PSLRA)

  • Prepare and review the MD&A
  • Review the SEC’s guidance for MD&A structure and content
  • Learn key lessons from SEC enforcement actions and frequent SEC comment letter issues
  • Learn to apply the SEC’s guidance for the use of non-GAAP measures
  • Understand the key role of the 1995 Private Securities Litigation Reform Act in protection from liability for forward-looking statements

5:00  Adjourn



Day Two: 8:30 a.m. - 4:00 p.m.

8:30 The Management's Discussion and Analysis (MD&A) Section and the Private Securities Litigation Reform Act (PSLRA) (continued)

10:00 Networking Break

10:15 Financial Statement Requirements of Form 10-K

  • Learn to work with Regulation S-X to assure that financial statements include the additional disclosure requirements of the SEC
  • Understand when additional financial statements may be required
  • Review SEC “hot button” issues
  • Understand the role of the PCAOB


11:45 Networking Luncheon

12:15 Drafting Your Annual Report on Form 10-K (continued)

1:45 Other 1934 Act Reports

  • Drafting Your Quarterly Report on Form 10-Q
    • Learn the requirements for quarterly financial statements
    • Understand the narrative sections of the Form 10-Q
  • Current Reports on Form 8-K
    • Explore which events trigger a Form 8-K filing and what information must be reported
    • Learn the related filing deadlines
    • Review frequently used 8-K items in detail


2:15 Networking Break

2:30 Proxy Statements and Annual Reports to Shareholders

  • Learn the proxy process and information requirements, including the executive compensation disclosures
  • Learn about the new Dodd/Frank requirements/proposals for the pay ratio and pay versus performance disclosures
  • Understand the different information requirements of the proxy statement, annual report to shareholders, and Form 10-K


3:30 Staying Out of Trouble: Insider Trading and Liability Risks for Corporate Officers, Directors and Principal Shareholders

  • Learn the requirements to report officer and director stock transactions on Forms 3, 4 and 5, and how to avoid the short-swing profit rules
  • Understand the risks of insider trading and how to establish a system to reduce risks

 4:00 Adjourn



Instructor(s)
Cheryl L. Linthicum, PhD, CPA, CMA ~ Professor of Accounting and Associate Dean, College of Business, The University of Texas at San Antonio
Program Attorney(s)
Robin D. Goldstein ~ Director & Sr. Program Attorney, PLI

San Francisco Seminar Location

PLI California Center, 685 Market Street, San Francisco, California 94105. (800) 260-4754.

San Francisco Hotel Accommodations

Park Central Hotel, 50 Third Street, San Francisco, CA 94103. 415-974-6400. When calling, please mention PLI and SET#287179. In addition, you may book online at Park Central Hotel PLI.

Omni Hotel San Francisco, 500 California Street, San Francisco, CA 94104. 415-677-9494.  When calling, please mention Practising Law Institute.  You may also book online at PLI Omni Hotel 2017.

Due to high demand we recommend reserving hotel rooms as early as possible.

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Alaska:  All SEC Institute products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Arizona:  SEC Institute’s workshops qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

California:  SEC Institute’s workshops qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All SEC Institute products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Connecticut: Effective January 1, 2017, all SEC Institute products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Delaware:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Florida:  All SEC Institute products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Georgia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Hawaii:  All SEC Institute products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Idaho:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Illinois:  All SEC Institute products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Indiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Iowa:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Kansas:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Louisiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Maine:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Minnesota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Mississippi:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Missouri:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Montana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nebraska:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nevada:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Hampshire:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Jersey:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Mexico:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New York

Experienced Attorneys:  All SEC Institute products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Newly Admitted Attorneys: Select transitional SEC Institute workshops can be used to fulfill the requirements for newly admitted attorneys. Please check the “Credit Information” box on the program page to ensure credit is approved. All credit categories may be earned via transitional SEC Institute workshops.

North Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

North Dakota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Ohio:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oklahoma:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oregon:  All SEC Institute products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Pennsylvania: SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Puerto Rico:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Rhode Island:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

South Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Tennessee:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Texas:  All SEC Institute products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Utah:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Vermont:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Virgin Islands:  All SEC Institute products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Virginia:  SEC Institute’s workshops qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

West Virginia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wisconsin:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wyoming:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.


CPD Jurisdictions

British Columbia (CPD-BC):  SEC Institute’s workshops qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  SEC Institute’s workshops qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  SEC Institute’s workshops can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of points an attorney can earn via workshops.

United Kingdom (CPD-UK):  SEC Institute’s workshops can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  SEC Institute’s workshops qualify as “live” credit in all Australian jurisdictions. There is no limit to the number of credits an attorney can earn via workshops.


Other Credit Types

CPE Credit (NASBA): SEC Institute’s workshops qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE):  SEC Institute’s workshops may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  SEC Institute’s workshops may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  SEC Institute’s workshops may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  SEC Institute’s workshops may fulfill HR credit requirements.

SHRM Recertification (SHRM):  SEC Institute’s workshops qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  SEC Institute’s workshops qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via workshops.

Certified Anti-Money Laundering Specialists (CAMS):  SEC Institute’s workshops may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  SEC Institute’s workshops may fulfill SW CPE credit requirements.

Please see our other locations for July - December 2018 workshops.


Why You Should Attend

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.   

Topics Include

  • Key disclosure issues in Forms 10-K, 10-Q and 8-K, and the proxy statement
  • Understanding the structure and use of the SEC’s Integrated Disclosure System, including Regulations S-K and S-X, Staff Accounting Bulletins and all related guidance
  • Mastering the art of writing an effective MD&A
  • Understanding the SEC staff’s hot-buttons issues, including frequent comment areas such as non-GAAP measures, revenue recognition, the statement of cash flows, segments, and contingencies 

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.

Prerequisites:  None

Preparation:  None

Level of Knowledge: Overview

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Day One: 9:00 a.m. - 5:00 p.m.

9:00 Overview of the SEC's Requirements

  • Learn to use the SEC’s integrated disclosure system, including Regulations S-X and S-K, the Staff Accounting and Staff Legal Bulletins, as a foundation for preparing Forms 10-K, 10-Q, and 8-K
  • Understand how to work with the SEC in the filing review process
  • Explore the mechanics of the filing process and XBRL
  • Learn the definition of “emerging growth companies” and the benefits of being one


10:30 Networking Break

10:45 Overview of the SEC's Requirements (continued)

12:00 Networking Luncheon

12:30 Drafting Your Annual Report on Form 10-K

  • Learn how to prepare Form 10-K
  • Deal with key disclosures and challenges
  • Discuss disclosure controls and their importance in the reporting process


2:15 Networking Break

2:30 Drafting Your Annual Report on Form 10-K (continued)

3:30 The Management's Discussion and Analysis (MD&A) Section and the Private Securities Litigation Reform Act (PSLRA)

  • Prepare and review the MD&A
  • Review the SEC’s guidance for MD&A structure and content
  • Learn key lessons from SEC enforcement actions and frequent SEC comment letter issues
  • Learn to apply the SEC’s guidance for the use of non-GAAP measures
  • Understand the key role of the 1995 Private Securities Litigation Reform Act in protection from liability for forward-looking statements

5:00  Adjourn



Day Two: 8:30 a.m. - 4:00 p.m.

8:30 The Management's Discussion and Analysis (MD&A) Section and the Private Securities Litigation Reform Act (PSLRA) (continued)

10:00 Networking Break

10:15 Financial Statement Requirements of Form 10-K

  • Learn to work with Regulation S-X to assure that financial statements include the additional disclosure requirements of the SEC
  • Understand when additional financial statements may be required
  • Review SEC “hot button” issues
  • Understand the role of the PCAOB


11:45 Networking Luncheon

12:15 Drafting Your Annual Report on Form 10-K (continued)

1:45 Other 1934 Act Reports

  • Drafting Your Quarterly Report on Form 10-Q
    • Learn the requirements for quarterly financial statements
    • Understand the narrative sections of the Form 10-Q
  • Current Reports on Form 8-K
    • Explore which events trigger a Form 8-K filing and what information must be reported
    • Learn the related filing deadlines
    • Review frequently used 8-K items in detail


2:15 Networking Break

2:30 Proxy Statements and Annual Reports to Shareholders

  • Learn the proxy process and information requirements, including the executive compensation disclosures
  • Learn about the new Dodd/Frank requirements/proposals for the pay ratio and pay versus performance disclosures
  • Understand the different information requirements of the proxy statement, annual report to shareholders, and Form 10-K


3:30 Staying Out of Trouble: Insider Trading and Liability Risks for Corporate Officers, Directors and Principal Shareholders

  • Learn the requirements to report officer and director stock transactions on Forms 3, 4 and 5, and how to avoid the short-swing profit rules
  • Understand the risks of insider trading and how to establish a system to reduce risks

 4:00 Adjourn



Instructor(s)
Cheryl L. Linthicum, PhD, CPA, CMA ~ Professor of Accounting and Associate Dean, College of Business, The University of Texas at San Antonio
Program Attorney(s)
Robin D. Goldstein ~ Director & Sr. Program Attorney, PLI
Houston Seminar Location and Accommodations

Four Seasons Houston, 1300 Lamar Street, Houston, TX 77010.  A block of rooms has been reserved for this program.  Please call reservations at 1-800-734-4114 and mention PLI and the name of the program.  The cut off date for the preferred rate is May 22, 2015.

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Alaska:  All SEC Institute products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Arizona:  SEC Institute’s workshops qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

California:  SEC Institute’s workshops qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All SEC Institute products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Connecticut: Effective January 1, 2017, all SEC Institute products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Delaware:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Florida:  All SEC Institute products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Georgia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Hawaii:  All SEC Institute products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Idaho:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Illinois:  All SEC Institute products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Indiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Iowa:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Kansas:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Louisiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Maine:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Minnesota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Mississippi:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Missouri:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Montana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nebraska:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nevada:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Hampshire:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Jersey:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Mexico:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New York

Experienced Attorneys:  All SEC Institute products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Newly Admitted Attorneys: Select transitional SEC Institute workshops can be used to fulfill the requirements for newly admitted attorneys. Please check the “Credit Information” box on the program page to ensure credit is approved. All credit categories may be earned via transitional SEC Institute workshops.

North Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

North Dakota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Ohio:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oklahoma:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oregon:  All SEC Institute products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Pennsylvania: SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Puerto Rico:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Rhode Island:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

South Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Tennessee:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Texas:  All SEC Institute products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Utah:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Vermont:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Virgin Islands:  All SEC Institute products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Virginia:  SEC Institute’s workshops qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

West Virginia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wisconsin:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wyoming:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.


CPD Jurisdictions

British Columbia (CPD-BC):  SEC Institute’s workshops qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  SEC Institute’s workshops qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  SEC Institute’s workshops can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of points an attorney can earn via workshops.

United Kingdom (CPD-UK):  SEC Institute’s workshops can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  SEC Institute’s workshops qualify as “live” credit in all Australian jurisdictions. There is no limit to the number of credits an attorney can earn via workshops.


Other Credit Types

CPE Credit (NASBA): SEC Institute’s workshops qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE):  SEC Institute’s workshops may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  SEC Institute’s workshops may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  SEC Institute’s workshops may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  SEC Institute’s workshops may fulfill HR credit requirements.

SHRM Recertification (SHRM):  SEC Institute’s workshops qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  SEC Institute’s workshops qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via workshops.

Certified Anti-Money Laundering Specialists (CAMS):  SEC Institute’s workshops may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  SEC Institute’s workshops may fulfill SW CPE credit requirements.

Please see our other locations for July - December 2018 workshops.


Why You Should Attend

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.   

Topics Include

  • Key disclosure issues in Forms 10-K, 10-Q and 8-K, and the proxy statement
  • Understanding the structure and use of the SEC’s Integrated Disclosure System, including Regulations S-K and S-X, Staff Accounting Bulletins and all related guidance
  • Mastering the art of writing an effective MD&A
  • Understanding the SEC staff’s hot-buttons issues, including frequent comment areas such as non-GAAP measures, revenue recognition, the statement of cash flows, segments, and contingencies 

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.

Prerequisites:  None

Preparation:  None

Level of Knowledge: Overview

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Day One: 9:00 a.m. - 5:00 p.m.

9:00 Overview of the SEC's Requirements

  • Learn to use the SEC’s integrated disclosure system, including Regulations S-X and S-K, the Staff Accounting and Staff Legal Bulletins, as a foundation for preparing Forms 10-K, 10-Q, and 8-K
  • Understand how to work with the SEC in the filing review process
  • Explore the mechanics of the filing process and XBRL
  • Learn the definition of “emerging growth companies” and the benefits of being one


10:30 Networking Break

10:45 Overview of the SEC's Requirements (continued)

12:00 Networking Luncheon

12:30 Drafting Your Annual Report on Form 10-K

  • Learn how to prepare Form 10-K
  • Deal with key disclosures and challenges
  • Discuss disclosure controls and their importance in the reporting process


2:15 Networking Break

2:30 Drafting Your Annual Report on Form 10-K (continued)

3:30 The Management's Discussion and Analysis (MD&A) Section and the Private Securities Litigation Reform Act (PSLRA)

  • Prepare and review the MD&A
  • Review the SEC’s guidance for MD&A structure and content
  • Learn key lessons from SEC enforcement actions and frequent SEC comment letter issues
  • Learn to apply the SEC’s guidance for the use of non-GAAP measures
  • Understand the key role of the 1995 Private Securities Litigation Reform Act in protection from liability for forward-looking statements

5:00  Adjourn



Day Two: 8:30 a.m. - 4:00 p.m.

8:30 The Management's Discussion and Analysis (MD&A) Section and the Private Securities Litigation Reform Act (PSLRA) (continued)

10:00 Networking Break

10:15 Financial Statement Requirements of Form 10-K

  • Learn to work with Regulation S-X to assure that financial statements include the additional disclosure requirements of the SEC
  • Understand when additional financial statements may be required
  • Review SEC “hot button” issues
  • Understand the role of the PCAOB


11:45 Networking Luncheon

12:15 Drafting Your Annual Report on Form 10-K (continued)

1:45 Other 1934 Act Reports

  • Drafting Your Quarterly Report on Form 10-Q
    • Learn the requirements for quarterly financial statements
    • Understand the narrative sections of the Form 10-Q
  • Current Reports on Form 8-K
    • Explore which events trigger a Form 8-K filing and what information must be reported
    • Learn the related filing deadlines
    • Review frequently used 8-K items in detail


2:15 Networking Break

2:30 Proxy Statements and Annual Reports to Shareholders

  • Learn the proxy process and information requirements, including the executive compensation disclosures
  • Learn about the new Dodd/Frank requirements/proposals for the pay ratio and pay versus performance disclosures
  • Understand the different information requirements of the proxy statement, annual report to shareholders, and Form 10-K


3:30 Staying Out of Trouble: Insider Trading and Liability Risks for Corporate Officers, Directors and Principal Shareholders

  • Learn the requirements to report officer and director stock transactions on Forms 3, 4 and 5, and how to avoid the short-swing profit rules
  • Understand the risks of insider trading and how to establish a system to reduce risks

 4:00 Adjourn



Instructor(s)
Cheryl L. Linthicum, PhD, CPA, CMA ~ Professor of Accounting and Associate Dean, College of Business, The University of Texas at San Antonio
Program Attorney(s)
Robin D. Goldstein ~ Director & Sr. Program Attorney, PLI
Waldorf  Orlando Bonnett Creek, 14200 Bonnett Creek Resort Lane, Orlando, FL 32821

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Alaska:  All SEC Institute products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Arizona:  SEC Institute’s workshops qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

California:  SEC Institute’s workshops qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All SEC Institute products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Connecticut: Effective January 1, 2017, all SEC Institute products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Delaware:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Florida:  All SEC Institute products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Georgia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Hawaii:  All SEC Institute products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Idaho:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Illinois:  All SEC Institute products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Indiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Iowa:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Kansas:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Louisiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Maine:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Minnesota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Mississippi:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Missouri:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Montana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nebraska:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nevada:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Hampshire:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Jersey:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Mexico:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New York

Experienced Attorneys:  All SEC Institute products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Newly Admitted Attorneys: Select transitional SEC Institute workshops can be used to fulfill the requirements for newly admitted attorneys. Please check the “Credit Information” box on the program page to ensure credit is approved. All credit categories may be earned via transitional SEC Institute workshops.

North Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

North Dakota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Ohio:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oklahoma:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oregon:  All SEC Institute products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Pennsylvania: SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Puerto Rico:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Rhode Island:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

South Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Tennessee:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Texas:  All SEC Institute products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Utah:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Vermont:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Virgin Islands:  All SEC Institute products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Virginia:  SEC Institute’s workshops qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

West Virginia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wisconsin:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wyoming:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.


CPD Jurisdictions

British Columbia (CPD-BC):  SEC Institute’s workshops qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  SEC Institute’s workshops qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  SEC Institute’s workshops can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of points an attorney can earn via workshops.

United Kingdom (CPD-UK):  SEC Institute’s workshops can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  SEC Institute’s workshops qualify as “live” credit in all Australian jurisdictions. There is no limit to the number of credits an attorney can earn via workshops.


Other Credit Types

CPE Credit (NASBA): SEC Institute’s workshops qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE):  SEC Institute’s workshops may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  SEC Institute’s workshops may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  SEC Institute’s workshops may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  SEC Institute’s workshops may fulfill HR credit requirements.

SHRM Recertification (SHRM):  SEC Institute’s workshops qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  SEC Institute’s workshops qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via workshops.

Certified Anti-Money Laundering Specialists (CAMS):  SEC Institute’s workshops may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  SEC Institute’s workshops may fulfill SW CPE credit requirements.

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