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

 

Gain and 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.

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

Agenda

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

Faculty

Christopher J. Bonner, Esq.

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 [email protected]
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Form 10-K and How to Avoid Regulatory Actions From the SEC

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