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

$219.00

SKU: 408347

Description

Gain an understanding of Form 10K and what is required to complete it.
The Annual Report on Form 10K is the major disclosure report filed with the Securities and Exchange Commission by publicly traded companies. Whether you read Form 10K reports or write them, the Form 10K report is one of the most significant documents that a publiclytraded company issues. For the investor, Form 10K is a snapshot of the company at a particular point in time. For the writer, Form 10K is an opportunity to protect the company from lawsuits and enforcement actions. This topic helps those who prepare Form 10K and investors who read Form 10K to know what the Form 10K report mandates, how to read a Form 10K, and how to include good disclosure, which will head off future liability.

Date: 2021-04-07 Start Time: 1:00 PM ET End Time: 2:40 PM ET

Learning Objectives

* You will be able to define good disclosure, and recognize presence or absence of good disclosure.

* You will be able to describe the items in Form 10K.

* You will be able to explain how Form 10K fits into the integrated disclosure system.

* You will be able to identify potential problems in your Form 10K report.

Introduction
• The Integrated Disclosure System

The Parts of the Form 10-K Report
• The Cover Page
• Items 1 Through 7A: Narrative Disclosure
• Items 8 Through 9A: The Financial Report
• Items 10 Through 14: Corporate Governance
• Item 15: Exhibits

Principles of Good Disclosure
• Plain English
• Forward-Looking Statements
• Trends and Uncertainties

Examples of Liability
• SEC Actions and Private Lawsuits

AIPB ,Enrolled Agents ,CPE ,Additional credit may be available upon request. Contact Lorman at 866-352-9540 for further information.

Christopher J. Bonner, Esq.-Barclay Damon LLP

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

$219.00

SKU: 407623

Description

Gain and understanding of the Form 10K and what is required to complete it.
The Form 10K 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 10K reports or write them, the Form 10K report is the most significant disclosure document that a publicly traded company issues. The writer of a Form 10K 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 10Ks and investors who read Form 10Ks, know what is required in Form 10Ks, how to read a Form 10K, and how to include good disclosure which will head off future liability.

Date: 2020-09-17 Start Time: 1:00 PM ET End Time: 2:40 PM ET

Learning Objectives

* You will be able to define the components of a public companys integrated disclosure program under the Exchange Act.

* You will be able to describe the items of disclosure the Form 10K must contain.

* You will be able to review a Form 10K for completeness under the SEC Rules.

* You will be able to recognize the presence, or absence, of good disclosure.

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

AIPB ,CPE ,Enrolled Agents ,Additional credit may be available upon request. Contact Lorman at 866-352-9540 for further information.

Christopher J. Bonner, Esq.-Barclay Damon, LLP