Half Day Program

See Credit Details Below


Why You Should Attend

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 knowledge and skills needed to prepare and review the Quarterly Report on Form 10-Q. You will also review disclosures required in proxy statements for annual meetings and understand the requirements of Section 16 reporting.  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:

  • Recognize key disclosure issues in Form 10-Q
  • Understand the relationship of Form 10-Q to Form 10-K
  • Identify key issues related to proxy solicitations
  • Discuss key disclosure issues in proxy statements
  • Understand Section 16 reporting and liability issues
  • Address key changes resulting from the SEC’s 2023 rule changes

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 SEC filings: 10-Q and proxy statement. 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:

Continue your learning at these other advanced SEC Reporting Essential Workshops:

  • Form 10-K (Part One): Business, Risk Factors & Part I Disclosures Essentials Workshop
  • Form 10-K (Part Two): Financial Statements & Parts II, III & IV Disclosures Essentials Workshop
  • MD&A SEC Reporting Essentials Workshop
  • Form 8-K SEC Reporting Essentials Workshop

Credit Details

Schedule & Location

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