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

 

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

The Annual Report on Form 10-K is the major disclosure report filed with the Securities and Exchange Commission by publicly traded companies. Whether you read Form 10-K reports or write them, the Form 10-K report is one of the most significant documents that a publicly-traded company issues. For the investor, Form 10-K is a snapshot of the company at a particular point in time. For the writer, Form 10-K is an opportunity to protect the company from lawsuits and enforcement actions. This topic helps those who prepare Form 10-K and investors who read Form 10-K to know what the Form 10-K report mandates, 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 matters since 1980
  • Advises public and private companies on securities and transactional matters and SEC compliance
  • Frequent speaker on Sarbanes-Oxley, Exchange Act compliance, corporate governance, and other securities and corporate topics
  • 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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