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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 required to prepare and review the Current Reports on Form 8-K when and as required by the SEC. Delinquent Form 8-Ks can result in a company losing its Securities Act S-3 filing status – and the Form 8-K’s four business day deadline can pose challenges. You will learn how to determine the triggering events that require a Form 8-K to be filed or furnished, when a voluntary Form 8-K may be appropriate, and which Form 8-K items qualify for the “safe harbor” that preserves a company’s filing status. In the Workshop, the required disclosures and compliance tips for the most frequent Form 8-K Items will be reviewed. This is an interactive Workshop (via Zoom), during which participants are encouraged to participate in Form 8-K practice exercises and discussions intended 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:
- Locate and utilize the Form 8-K instructions to understand the Form’s disclosure requirements
- Recognize the various events that trigger the requirements to file a Form 8-K
- Determine exceptions and modified deadlines for certain Form 8-K Items
- Discern which Form 8-K Items may have update/amendment requirements
- Analyze the circumstances when filing a Form 8-K may be appropriate even though not required
- Determine and understand the important distinction between “filed” versus “furnished” Form 8-Ks
- Design and implement disclosure controls and other corporate processes to timely identify, gather and process information or events that would trigger the requirement to furnish or file a Form 8-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 SEC Form 8-K filings. 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.
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.