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Form 10-K and How to Avoid Regulatory Actions From the SEC

September 17, 2020 1:00 - 2:40 PM EST

Training Duration = 100 min              Sponsored by Lorman

Click Here to register $219.00

Click Here to register and receive downloadable recording $288.00

Gain an understanding of the Form 10-K and what is required to complete it.

The Form 10-K report is the major annual report filed by registered public companies with the Securities and Exchange Commission under the Securities Exchange Act of 1934. Whether you read Form 10-K reports or write them, the Form 10-K report is the most significant disclosure document that a publicly traded company issues.

The writer of a Form 10-K needs to know what goes into the report to protect the company from criticism from the Securities and Exchange Commission and, in the case of how to minimize liability from private securities lawsuits. This topic helps those who prepare Form 10-Ks; and investors who read Form 10-Ks, know what is required in Form 10-Ks, how to read a Form 10-K, and how to include good disclosure which will head off future liability.

Agenda

Overview of the Integrated Disclosure System
The Items of the Form 10-K Report
  • The Cover Page
  • Items 1 Through 7A: Narrative Disclosure About the Business
  • Items 8 Through 9A: The Financial Statements and Accounting
  • Items 10 Through 14: Corporate Governance
  • Item 15: Exhibits
Principles of Good Disclosure
  • Forward-Looking Statements
  • Risk Factors, Trends, and Uncertainties
Examples of Liability
  • SEC Actions
  • Private Securities Law Litigation

Christopher J. Bonner, Esq.

Barclay Damon, LLP

  • Counsel to Barclay Damon, LLP
  • Practicing law in securities and transactional matter since 1980
  • Advises public and private companies on securities and transactional matters and SEC compliance
  • Frequent speaker on Sarbanes-Oxley and other securities topics and on corporate, and transactional matters
  • Member, American Bar Association, Business Law Section, Corporate Governance Committee
  • J.D. degree, Harvard Law School
  • Can be contacted at 315-425-2708 or┬ácbonner@barclaydamon.com