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 course helps those who prepare Form 10-K and investors who read Form 10-K to know what Form 10-K mandates, how to read a Form 10-K, and how to include good disclosure, which will head off future liability.
Learning Objectives
- You will be able to iIdentify the primary components and required sections of a Form 10-K filing under SEC disclosure rules.
- You will be able to differentiate between filer classifications (such as large accelerated filer, accelerated filer, and smaller reporting company) and explain how those classifications affect Form 10-K filing deadlines and requirements.
- You will be able to recognize key SEC regulatory provisions and disclosure requirements (such as Regulation S-K, Sarbanes-Oxley certifications, and internal control reporting) that apply to Form 10-K filings.
- You will be able to identify common disclosure risks and internal control issues that can lead to SEC scrutiny or enforcement actions in periodic reports.
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Why Lorman?
Over 39 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.
Agenda
Overview
- 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
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Why Lorman?
Over 39 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.
Credits
OnDemand Course
This course was last revised on October 22, 2025.
Call 1-866-352-9540 for further credit information.
- AIPB 2.0
- This program is acceptable for 2.0 CPEC(s) towards the CB designation through the American Institute of Professional Bookkeepers (AIPB).
Enrolled Agents 2.0
- In accordance with the standards set forth in Circular 230 section 10.6, CE credits have been granted based on a 50-minute hour. This program qualifies for 2.0 Continuing Education Credit(s) for enrolled agents.
CPE/NASBA - QAS Self Study 2.8 including Business Law 2.8
- Noggin Guru, Inc. dba Lorman Education Services and BankersHub is registered with the National Association of State Boards of Accountancy (NASBA) as a Self Study sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its web site: www.nasbaregistry.org. For more information regarding administrative policies such as complaint and refund, please contact our offices at 866-352-9539. CPE Credit: Maximum Credit Hours: 2.8 each session (based on a 50 minute credit hour). You must attend at least 50 minutes to obtain credit. Field of Study: Business Law for 2.8 hours. Prerequisite: . Level of Knowledge: Intermediate. Teaching Method: Seminar/Lecture. Advance Preparation: None. Delivery Method: Self Study. Please refer to the information in this advertisement for outline, course content and objectives. Upon completion of this course, you will receive a certificate of attendance. Final approval of a course for CPE credit belongs with each state's regulatory board.
MP3 Download
This program does NOT qualify, nor meet the National Standard for NASBA accreditation.
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Why Lorman?
Over 39 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.
Faculty
Christopher J. Bonner, Esq.
Barclay Damon LLP
- Special 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, including bank regulation at the corporate level, and securities compliance in municipal finance
- Frequent speaker on Sarbanes-Oxley, general securities law, and mergers and acquisitions
- Member, American Bar Association, Business Law Section and Tax Section
- Member, New York State Bar Association, Committee on Corporate Counsel, Committee on Tax, and Committee on Business Law
- J.D. Degree, Harvard Law School
- Can be contacted at (315) 425-2708 or [email protected]
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Why Lorman?
Over 39 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.
All of your training, right here at Lorman.
Pay once and get a full year of unlimited training in any format, any time!
- OnDemand Courses
- Live Webinars
- MP3 Downloads
- Course Manuals
- Executive Reports
- White Papers and Articles
Additional benefits include:
- State Specific Credit Tracker
- All-Access Pass Course Concierge
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