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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.

Runtime: 97 minutes
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Why Lorman?

Over 33 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 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
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Why Lorman?

Over 33 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

MP3 Download

This program does NOT qualify, nor meet the National Standard for NASBA accreditation.

OnDemand Course

This course was last revised on September 17, 2020.

Call 1-866-352-9540 for further credit information.

  • Enrolled Agents 2.0
     
  • This program qualifies for 2.0 hours of Continuing Education Credit for enrolled agents under Treasury Department Circular #230 Section 10.6(g).
     

This program does NOT qualify, nor meet the National Standard for NASBA accreditation.

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More Program Information

Why Lorman?

Over 33 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.

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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Why Lorman?

Over 33 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.

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Product ID: 407623
Published 2020
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