Half Day Program

See Credit Details Below


In this virtual Workshop for SEC reporting professionals, using the SEC’s guidance discussed in our SEC 101 Reporting Essentials for Financial Professionals Workshop or the SEC 101 Reporting Essentials for Lawyers Workshop, you will build the practical knowledge base, skills and tools needed to draft and review the disclosures in Parts II, III & IV of the Form 10-K annual report, including the financial statements. (Please note that Business, Risk Factors & Part I Disclosures are addressed in the Part One Form 10-K Essentials Workshop and that MD&A is addressed in a separate Essentials Workshop). Discussion will include the requirements from Regulation S-K for non-financial statement disclosures, the financial statement requirements of Regulation S-X, as well as the requirements from Staff Accounting Bulletins, Compliance and Disclosure Interpretations and other SEC reporting sources.  Discussion will also include pay versus performance and other evolving disclosure areas as well as frequent SEC comment areas for these sections of the Form 10-K.  This is an interactive Workshop (via Zoom), and open discussion is encouraged to enhance and deepen the learning process. 

The Workshop includes online access to PLI’s SEC Reporting Handbook.

What You Will Learn

After completing this Workshop, participants will be able to:

  • Identify key disclosure issues in Parts II, III and IV of Form 10-K
  • Analyze financial statement disclosure differences between the requirements of US GAAP and Regulation S-X
  • Determine when financial statement of equity method investees and other entities are required
  • Discuss the latest developments from the SEC, including disclosures for pay versus performance 
  • Review key issues and frequent challenges in executive compensation and share ownership disclosures
  • Determine which exhibits are required and how to build the exhibit index
  • Understand the SEC staff’s “hot buttons,” including frequent comment areas on Parts II, III and IV of Form 10-K

What You Should Bring 
To customize your Workshop and gain the most benefit from this interactive learning experience, we recommend you have access to your company’s or a client’s most recent Form 10-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
SEC reporting professionals, including those involved in the preparation or review of financial statements, partners of public accounting firms and their staff, lawyers and corporate legal staff, investor relations professionals, and audit committee members.

Program Level 


Attendees should have some prior experience with the SEC reporting process. We recommend first attending either the SEC 101 Reporting Essentials for Financial Professionals Workshop or the SEC 101 Reporting Essentials for Lawyers Workshop so that you have the foundational tools and skills necessary for this program.

Advanced Preparation 

Suggested add-on courses:

Upon completion of this Workshop, you will be ready to apply the SEC’s guidance and continue your learning at our more advanced SEC Reporting Essential Workshops, which build upon this foundational program, including our:

  • Form 10-K (Part One): Business, Risk Factors & Part I Disclosures Essentials Workshop
  • MD&A SEC Reporting Essentials Workshop
  • Form 8-K SEC Reporting Essentials Workshop
  • Form 10-Q, Proxy Statement and Section 16 SEC Reporting Essentials Workshop



Credit Details

Schedule & Location

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