Course Handbook  Course Handbook

SEC Reporting Skills Workshop 2018

Publication Date: March 2018 Number of Volumes: 1
ISBN Number: na Page Count: 760 pages


Download: Table of Contents    Index

Table of Contents
Chapter 1: SEC Institute, What You Need to Know as a Reporting Company Regarding the Securities Legislation and Its Related Reporting Requirements (Updated January 2018)
Chapter 2: U.S. Securities and Exchange Commission, Division of Corporation Finance, Financial Reporting Manual (excerpts) (updated as of August 25, 2017)
Chapter 3: U.S. Securities and Exchange Commission, Division of Corporation Finance, Filing Review Process (Modified October 18, 2017)
Chapter 4: SEC Institute, Drafting Form 10-K (Updated January 10, 2018)
Chapter 5: U.S. Securities and Exchange Commission, Interim Final Rule: Form 10-K Summary, 17 CFR Part 249 [Release No. 34-77969; File No. S7-09-16]
Chapter 6: SEC Staff Comment and Response Letters Regarding Intel Corporation Form 10-K for the Fiscal Year Ended December 31, 2016, Filed February 17, 2017, File No. 000-06217
Chapter 7: Intel Corporation, Form 10-K for the Fiscal Year Ended December 31, 2016
Chapter 8: SEC Institute, Reminder List: A Creative Approach to Writing Your MD&A (Revised January 2018)
Chapter 9: Blackbaud, Inc., Form 10-K for the Fiscal Year Ended December 31, 2016 (excerpt)
Chapter 10: SEC Institute, SEC Guidance for Non-GAAP Measures (Revised January 2018)
Chapter 11: WilmerHale, Applying the New SEC Staff Guidance on Non-GAAP Measures to Your Next Earnings Announcement (May 25, 2016)
Chapter 12: MD&A—Related Enforcement Releases: Caterpillar, Inc.; Salant Corporation; Sony; The Coca-Cola Company; Bank of America; and UTi Worldwide Inc.
Chapter 13: W. Brinkley Dickerson, Jr., Troutman Sanders LLP, MD&A “Top-Down” Checklist
Chapter 14: PwC-MD&A Report, Report of Independent Accountants on Management’s Discussion and Analysis of Financial Condition and Results of Operations, Goldman Sachs Prospectus (March 15, 1999)
Chapter 15: Boris Feldman, Navigating the Safe Harbor for Forward-Looking Statements
Chapter 16: SEC Institute, SEC Frequent Comments: Recent Examples in Specific Areas (Updated September 2017)
Chapter 17: Recent Enforcement Releases from the SEC: Xerox; Microsoft; America Online; Waste Management; Delphi Corporation; PACCAR; JDA Software; and Saba Software
Chapter 18: SEC Institute, Form 10-Q (Revised January 2018)
Chapter 19: Intel Corporation, Form 10-Q for the Quarterly Period Ended September 30, 2017
Chapter 20: SEC Institute, Form 8-K General Filing Requirements (Revised January 2018)
Chapter 21: Latham & Watkins LLP, Desktop Reference: 8-K Filing Events (January 2017)
Chapter 22: SEC Institute, The Proxy Statement Rules (Including Requirements of the Annual Report to Shareholders) (Revised January 2018)
Chapter 23: U.S. Securities and Exchange Commission, Staff Observations in the Review of Executive Compensation Disclosure (October 9, 2007)
Chapter 24: Brian M. Wong, Susan P. Serota, and Jeffrey Jacobi, Pillsbury Winthrop Shaw Pittman LLP, Client Alert, Brace for 2018: The SEC’s Pay Ratio Rule (August 8, 2017), available at
Chapter 25: Latham & Watkins LLP, Client Alert No. 2026, New SEC Staff Guidance on CEO Pay Ratio Disclosure Rules—Determining the Median Employee (October 31, 2016)
Chapter 26: Latham & Watkins LLP, New SEC Proposed Rules on Pay versus Performance, Corporate Governance Commentary (May 5, 2015)
Chapter 27: Latham & Watkins LLP, Client Alert No. 1862, How to Navigate the SEC’s Proposed Mandate on Clawbacks (August 4, 2015)
Chapter 28: SEC Institute, Section 16 of the 1934 Act—The “Insider Trading” Rules (Revised January 2018)
Chapter 29: Gary M. Brown, Template: Insider Trading Compliance Policy
Chapter 30: Gibson Dunn, The Spotlight Shines on Rule 10b5-1 Plans: What Public Companies Should Consider Now (January 22, 2013)
Chapter 31: U.S. Securities and Exchange Commission, Press Release No. 2014-190, SEC Announces Charges Against Corporate Insiders for Violating Laws Requiring Prompt Reporting of Transactions and Holdings (September 10, 2014)
Chapter 32: Complaint for Injunctive and Other Relief, Securities and Exchange Commission v. Cope, Civil Action No. 3:16-cv-02764 (M.D. Tenn. filed Oct. 21, 2016) (example of insider trading litigation)
Chapter 33: Complaint, Securities and Exchange Commission v. Gadimian, Civil Action No. 1:16-cv-11955 (D. Mass. filed Sept. 29, 2016) (example of insider trading litigation)

This Course Handbook was compiled for the program, SEC Reporting Skills Workshop 2018.

PLI’s nationally acclaimed course handbooks represent the definitive thinking on timely topics and are considered the standard reference in the field. This course handbook is prepared specifically for the program and stands alone as a permanent reference.

Bob Laux, International Integrated Reporting Council
Cheryl L. Linthicum, The University of Texas at San Antonio
George M. Wilson, SEC Institute, a Division of PLI

  • twitter
  • LinkedIn
  • YouTube
  • RSS

All Contents Copyright © 1996-2019 Practising Law Institute. Continuing Legal Education since 1933.

© 2019 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.