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In this virtual Workshop for legal professionals, you will build the practical knowledge base, skills and tools required to succeed in an SEC reporting role and apply these tools to examples from practice. Participants will learn the legal foundations of SEC reporting in the Securities Act of 1933 (“Securities Act”) and the Securities Exchange Act of 1934 (the “Exchange Act”), discuss when there is a “duty to disclose” and build an understanding of the SEC’s Integrated Disclosure System. 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
In this Workshop participants will:
- Review the major provisions of the Securities Act and Exchange Act
- Navigate the Integrated Disclosure System, including Regulation S-K’s disclosure requirements
- Learn how public companies communicate within the constraints of the SEC’s rules and guidance, including Regulation FD (“fair disclosure”) and the SEC’s non-GAAP measure guidance
- Use other sources of SEC guidance, including Compliance and Disclosure Interpretations (C&DIs), Staff Legal Bulletins (SLBs) and the Financial Reporting Manual
- Understand the SEC’s organization and function with a focus on the review process and frequent comment areas
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 Forms 10-K and 10-Q and a recent 8-K filing. 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
Attorneys, general counsel, in-house counsel and corporate legal staff, investor relations professionals, audit committee members, and others involved in the preparation or review of SEC filings. For financial reporting professionals, including CFOs, controllers and their staff, internal auditors, partners of public accounting firms and their staff we recommend taking our SEC 101 Reporting Essentials for Financial Professionals Workshop or, for a more in-depth analysis of financial reporting issues in SEC reporting, our two-day intensive SEC Reporting Skills Workshop for Financial Professionals.
Attorneys, general counsel, in-house counsel and corporate legal staff, investor relations professionals, audit committee members, and others involved in the preparation of SEC filings.
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: