Seminar  Workshop

SEC Reporting Skills Workshop for Financial Professionals 2019


Select a Location:

Please click here for January-June 2019 dates.

Why You Should Attend

Designed for accounting and financial reporting professionals, this Workshop will help you build the foundational knowledge and practical experience necessary to prepare and review the SEC’s periodic and current reporting forms.

Participants will learn the structure and details of Forms 10-K, 10-Q, and 8-K, with particular emphasis on challenging and complex disclosures and how to effectively use the SEC’s guidance.  Annual proxy requirements and SEC insider trading rules will also be discussed.  Frequent SEC comment areas will be reviewed along with example comments.  This interactive, in-depth Workshop is perfect for beginners or as a refresher for experienced SEC reporting professionals.   

What You Will Learn

  • Key disclosure issues in Forms 10-K, 10-Q and 8-K, and the proxy statement
  • Understanding the structure and use of the SEC’s Integrated Disclosure System, including Regulations S-K and S-X, Staff Accounting Bulletins and all related guidance
  • Mastering the art of writing an effective MD&A
  • Reviewing all of the changes to Regulations S-K and S-X from the SEC’s March 2019 and August 2018 Disclosure Modernization and Simplification Final Rules
  • Reviewing the expanded definition of Smaller Reporting Company and the opportunities it presents for companies
  • Learning the latest developments from the SEC, including Brexit and cybersecurity and other disclosure changes
  • Understanding the SEC staff’s “hot buttons,” including frequent comment areas such as quantified MD&A analysis, non-GAAP measures, revenue recognition, the statement of cash flows, segments and contingencies

What You Should Bring

To customize your Workshop and gain the most benefit from this interactive learning experience, we recommend you bring your company’s or a client’s most recent SEC filings: 10-K, 10-Q, and a recent 8-K.  If you work with a company that is not yet public, filings from a company in your industry are a reasonable alternative.

Who Should Attend

CFOs, controllers and their staff, internal auditors, partners of public accounting firms and their staff, investor relations professionals, audit committee members, and others involved in the preparation of SEC filings will take away valuable practical information and skills necessary to succeed in the current SEC reporting environment. For attorneys, general counsel, in-house counsel and corporate legal staff, we recommend taking our SEC Reporting and Practice Skills Workshop for Lawyers, for a more in-depth analysis of legal issues in SEC reporting.

Program Level:

Basic

Intended Audience:

CFOs, controllers and their staff, internal auditors, partners of public accounting firms and their staff, investor relations professionals, audit committee members, and others involved in the preparation of SEC filings.

Prerequisites:

We recommend some prior experience with the SEC reporting process and use of the Instructions to Forms and Regulations S-K and S-X.

Advanced Preparation:

None


Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Day One: 9:00 a.m. - 5:00 p.m.

9:00 Overview of the SEC's Requirements
  • Learn to use the SEC’s integrated disclosure system, including Regulations S-X and S-K, the Staff Accounting and Staff Legal Bulletins, as a foundation for preparing Forms 10-K, 10-Q, and 8-K
  • Review the changes to S-X and S-K from the SEC’s Disclosure Modernization and Simplification Final Rules
  • Understand how to work with the SEC in the filing review process
  • Explore the mechanics of the filing process and the transition to in-line XBRL
  • Learn the expanded definition of “smaller reporting company” and the benefits of being one


10:30 Networking Break

10:45 Overview of the SEC's Requirements (continued)

12:00 Networking Luncheon

12:30 Drafting Your Annual Report on Form 10-K
  • Learn how to prepare Form 10-K
  • Deal with key disclosures and challenges, including Brexit and cybersecurity disclosures and all the details of change from the SEC’s Disclosure Modernization and Simplification Rules
  • Discuss disclosure controls and their importance in the reporting process


2:15 Networking Break

2:30 Drafting Your Annual Report on Form 10-K (continued)

3:30 The Management's Discussion and Analysis (MD&A) Section and the Private Securities Litigation Reform Act (PSLRA)
  • Prepare and review the MD&A
  • Review the SEC’s guidance for MD&A structure and content
  • Learn key lessons from SEC comment letter issues and SEC enforcement actions
  • Understand the issues in considering not discussing the earliest year presented
  • Learn to apply the SEC’s guidance for the use of non-GAAP measures
  • Understand the key role of the 1995 Private Securities Litigation Reform Act in protection from liability for forward-looking statements

5:00  Adjourn

Speakers: George M. Wilson, MBA, CPA

Day Two: 8:30 a.m. - 4:00 p.m.

8:30 The Management's Discussion and Analysis (MD&A) Section and the Private Securities Litigation Reform Act (PSLRA) (continued)

10:00 Networking Break

10:15 Financial Statement Requirements of Form 10-K
  • Learn to work with Regulation S-X to assure that financial statements include the additional disclosure requirements of the SEC
  • Understand when additional financial statements may be required
  • Review SEC “hot button” issues
  • Understand the role of the PCAOB and the potential impact of new requirements for the auditor’s report


11:45 Networking Luncheon

12:15 Drafting Your Annual Report on Form 10-K (continued)

1:45 Other 1934 Act Reports
  • Drafting Your Quarterly Report on Form 10-Q
    • Learn the requirements for quarterly financial statements
    • Understand the narrative sections of the Form 10-Q
  • Current Reports on Form 8-K
    • Explore which events trigger a Form 8-K filing and what information must be reported
    • Learn the related filing deadlines
    • Review frequently used 8-K items in detail


2:15 Networking Break

2:30 Proxy Statements and Annual Reports to Shareholders
  • Learn the proxy process and information requirements, including the executive compensation disclosures
  • Learn about the Dodd-Frank requirements for pay ratio disclosures
  • Understand the different information requirements of the proxy statement, annual report to shareholders and Form 10-K


3:30 Staying Out of Trouble: Insider Trading and Liability Risks for Corporate Officers, Directors and Principal Shareholders
  • Learn the requirements to report officer and director stock transactions on Forms 3, 4 and 5
  • Understand the risks of insider trading and how to establish a system to reduce risks

4:00 Adjourn

(CFE Field of Study: Fraud)


Instructor(s)
Lawrence Shapiro ~ Retired Partner/Senior Consultant , BDO USA, LLP
George M. Wilson, MBA, CPA ~ Director, SEC Institute, a Division of PLI
Program Attorney(s)
Robin D. Goldstein ~ Director & Sr. Program Attorney, PLI

New York City Seminar Location

PLI New York Boardroom, 1177 Avenue of the Americas, (2nd floor), entrance on 45th Street, New York, New York 10036. Message Center, program days only: (212) 824-5733.

New York City Hotel Accommodations

Crowne Plaza Times Square Manhattan, 1605 Broadway (at 48th Street), New York, NY 10019 (212) 977-4000. When calling, mention Practising Law Institute. You can also make reservations online to access PLI's rates.

The Muse, 130 West 46th Street, New York, NY 10036. Please call reservations at 1-800-546-7866. When calling, please mention Practising Law Institute. You can also book online at https://gc.synxis.com/rez.aspx?Hotel=26750&Chain=10179&promo=PRLW.

Millennium Broadway Hotel, 145 West 44th Street, New York, NY 10036. Please call reservations at 1-800-622-5569. When calling, please mention Practising Law Institute. You can also book online at https://reservations.millenniumhotels.com/ibe/index.aspxhotelid=13507&langid=1&rooms=1&adults=1&corp=practising.

Hyatt Times Square, 135 W. 45th Street, New York, NY 10036. For reservations, please call (646) 364-1234. When calling mention rate code CR56218 or Practising Law Institute.

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Alaska:  All SEC Institute products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Arizona:  SEC Institute’s workshops qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

California:  SEC Institute’s workshops qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All SEC Institute products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Connecticut: Effective January 1, 2017, all SEC Institute products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Delaware:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Florida:  All SEC Institute products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Georgia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Hawaii:  All SEC Institute products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Idaho:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Illinois:  All SEC Institute products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Indiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Iowa:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Kansas:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Louisiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Maine:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Minnesota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Mississippi:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Missouri:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Montana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nebraska:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nevada:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Hampshire:  All SEC Institute products can fulfill New Hampshire’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

New Jersey:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Mexico:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New York

Experienced Attorneys:  All SEC Institute products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Newly Admitted Attorneys: Select transitional SEC Institute workshops can be used to fulfill the requirements for newly admitted attorneys. Please check the “Credit Information” box on the program page to ensure credit is approved. All credit categories may be earned via transitional SEC Institute workshops.

North Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

North Dakota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Ohio:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oklahoma:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oregon:  All SEC Institute products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Pennsylvania: SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Puerto Rico:  All SEC Institute products can fulfill Puerto Rico’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Rhode Island:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

South Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Tennessee:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Texas:  All SEC Institute products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Utah:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Vermont:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Virgin Islands:  All SEC Institute products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Virginia:  SEC Institute’s workshops qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  All SEC Institute products can fulfill Washington’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

West Virginia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wisconsin:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wyoming:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.


CPD Jurisdictions

British Columbia (CPD-BC):  SEC Institute’s workshops qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  SEC Institute’s workshops qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  SEC Institute’s workshops can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of points an attorney can earn via workshops.

United Kingdom (CPD-UK):  SEC Institute’s workshops can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  SEC Institute’s workshops qualify as “live” credit in all Australian jurisdictions. There is no limit to the number of credits an attorney can earn via workshops.

Alberta (CPD-ALBERTA):  All SEC Institute products can fulfill Alberta’s CPD requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Dubai (CLPD-DUBAI):  SEC Institute’s workshops may fulfill CLPD credit requirements.


Other Credit Types

CPE Credit (NASBA): SEC Institute’s workshops qualify as the “Group-Live” delivery method. Please check the Credit Information box on the right-hand side of this page to verify CPE credit availability.

IRS Continuing Education (IRS-CE):  SEC Institute’s workshops may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  SEC Institute’s workshops may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  SEC Institute’s workshops may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  SEC Institute’s workshops may fulfill HR credit requirements.

SHRM Recertification (SHRM):  SEC Institute’s workshops qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  SEC Institute’s workshops qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via workshops.

Certified Anti-Money Laundering Specialists (CAMS):  SEC Institute’s workshops may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  SEC Institute’s workshops may fulfill SW CPE credit requirements.

American Bankers Association Professional Certification (ABA):  SEC Institute’s workshops may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  SEC Institute’s workshops may fulfill CFP credit requirements.

 

Please click here for January-June 2019 dates.

Why You Should Attend

Designed for accounting and financial reporting professionals, this Workshop will help you build the foundational knowledge and practical experience necessary to prepare and review the SEC’s periodic and current reporting forms.

Participants will learn the structure and details of Forms 10-K, 10-Q, and 8-K, with particular emphasis on challenging and complex disclosures and how to effectively use the SEC’s guidance.  Annual proxy requirements and SEC insider trading rules will also be discussed.  Frequent SEC comment areas will be reviewed along with example comments.  This interactive, in-depth Workshop is perfect for beginners or as a refresher for experienced SEC reporting professionals.   

What You Will Learn

  • Key disclosure issues in Forms 10-K, 10-Q and 8-K, and the proxy statement
  • Understanding the structure and use of the SEC’s Integrated Disclosure System, including Regulations S-K and S-X, Staff Accounting Bulletins and all related guidance
  • Mastering the art of writing an effective MD&A
  • Reviewing all of the changes to Regulations S-K and S-X from the SEC’s March 2019 and August 2018 Disclosure Modernization and Simplification Final Rules
  • Reviewing the expanded definition of Smaller Reporting Company and the opportunities it presents for companies
  • Learning the latest developments from the SEC, including Brexit and cybersecurity and other disclosure changes
  • Understanding the SEC staff’s “hot buttons,” including frequent comment areas such as quantified MD&A analysis, non-GAAP measures, revenue recognition, the statement of cash flows, segments and contingencies

What You Should Bring

To customize your Workshop and gain the most benefit from this interactive learning experience, we recommend you bring your company’s or a client’s most recent SEC filings: 10-K, 10-Q, and a recent 8-K.  If you work with a company that is not yet public, filings from a company in your industry are a reasonable alternative.

Who Should Attend

CFOs, controllers and their staff, internal auditors, partners of public accounting firms and their staff, investor relations professionals, audit committee members, and others involved in the preparation of SEC filings will take away valuable practical information and skills necessary to succeed in the current SEC reporting environment. For attorneys, general counsel, in-house counsel and corporate legal staff, we recommend taking our SEC Reporting and Practice Skills Workshop for Lawyers, for a more in-depth analysis of legal issues in SEC reporting.

Program Level:

Basic

Intended Audience:

CFOs, controllers and their staff, internal auditors, partners of public accounting firms and their staff, investor relations professionals, audit committee members, and others involved in the preparation of SEC filings.

Prerequisites:

We recommend some prior experience with the SEC reporting process and use of the Instructions to Forms and Regulations S-K and S-X.

Advanced Preparation:

None


Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Day One: 9:00 a.m. - 5:00 p.m.

9:00 Overview of the SEC's Requirements
  • Learn to use the SEC’s integrated disclosure system, including Regulations S-X and S-K, the Staff Accounting and Staff Legal Bulletins, as a foundation for preparing Forms 10-K, 10-Q, and 8-K
  • Review the changes to S-X and S-K from the SEC’s Disclosure Modernization and Simplification Final Rules
  • Understand how to work with the SEC in the filing review process
  • Explore the mechanics of the filing process and the transition to in-line XBRL
  • Learn the expanded definition of “smaller reporting company” and the benefits of being one


10:30 Networking Break

10:45 Overview of the SEC's Requirements (continued)

12:00 Networking Luncheon

12:30 Drafting Your Annual Report on Form 10-K
  • Learn how to prepare Form 10-K
  • Deal with key disclosures and challenges, including Brexit and cybersecurity disclosures and all the details of change from the SEC’s Disclosure Modernization and Simplification Rules
  • Discuss disclosure controls and their importance in the reporting process


2:15 Networking Break

2:30 Drafting Your Annual Report on Form 10-K (continued)

3:30 The Management's Discussion and Analysis (MD&A) Section and the Private Securities Litigation Reform Act (PSLRA)
  • Prepare and review the MD&A
  • Review the SEC’s guidance for MD&A structure and content
  • Learn key lessons from SEC comment letter issues and SEC enforcement actions
  • Understand the issues in considering not discussing the earliest year presented
  • Learn to apply the SEC’s guidance for the use of non-GAAP measures
  • Understand the key role of the 1995 Private Securities Litigation Reform Act in protection from liability for forward-looking statements

5:00  Adjourn



Day Two: 8:30 a.m. - 4:00 p.m.

8:30 The Management's Discussion and Analysis (MD&A) Section and the Private Securities Litigation Reform Act (PSLRA) (continued)

10:00 Networking Break

10:15 Financial Statement Requirements of Form 10-K
  • Learn to work with Regulation S-X to assure that financial statements include the additional disclosure requirements of the SEC
  • Understand when additional financial statements may be required
  • Review SEC “hot button” issues
  • Understand the role of the PCAOB and the potential impact of new requirements for the auditor’s report


11:45 Networking Luncheon

12:15 Drafting Your Annual Report on Form 10-K (continued)

1:45 Other 1934 Act Reports
  • Drafting Your Quarterly Report on Form 10-Q
    • Learn the requirements for quarterly financial statements
    • Understand the narrative sections of the Form 10-Q
  • Current Reports on Form 8-K
    • Explore which events trigger a Form 8-K filing and what information must be reported
    • Learn the related filing deadlines
    • Review frequently used 8-K items in detail


2:15 Networking Break

2:30 Proxy Statements and Annual Reports to Shareholders
  • Learn the proxy process and information requirements, including the executive compensation disclosures
  • Learn about the Dodd-Frank requirements for pay ratio disclosures
  • Understand the different information requirements of the proxy statement, annual report to shareholders and Form 10-K


3:30 Staying Out of Trouble: Insider Trading and Liability Risks for Corporate Officers, Directors and Principal Shareholders
  • Learn the requirements to report officer and director stock transactions on Forms 3, 4 and 5
  • Understand the risks of insider trading and how to establish a system to reduce risks

4:00 Adjourn

(CFE Field of Study: Fraud)


Instructor(s)
Cheryl L. Linthicum, PhD, CPA, CMA ~ Professor of Accounting and former Associate Dean, College of Business, The University of Texas at San Antonio
Program Attorney(s)
Robin D. Goldstein ~ Director & Sr. Program Attorney, PLI
The Fairmont Hotel, 1717 N. Akard Street, Dallas, TX 75201

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Alaska:  All SEC Institute products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Arizona:  SEC Institute’s workshops qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

California:  SEC Institute’s workshops qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All SEC Institute products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Connecticut: Effective January 1, 2017, all SEC Institute products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Delaware:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Florida:  All SEC Institute products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Georgia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Hawaii:  All SEC Institute products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Idaho:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Illinois:  All SEC Institute products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Indiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Iowa:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Kansas:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Louisiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Maine:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Minnesota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Mississippi:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Missouri:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Montana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nebraska:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nevada:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Hampshire:  All SEC Institute products can fulfill New Hampshire’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

New Jersey:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Mexico:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New York

Experienced Attorneys:  All SEC Institute products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Newly Admitted Attorneys: Select transitional SEC Institute workshops can be used to fulfill the requirements for newly admitted attorneys. Please check the “Credit Information” box on the program page to ensure credit is approved. All credit categories may be earned via transitional SEC Institute workshops.

North Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

North Dakota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Ohio:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oklahoma:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oregon:  All SEC Institute products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Pennsylvania: SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Puerto Rico:  All SEC Institute products can fulfill Puerto Rico’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Rhode Island:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

South Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Tennessee:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Texas:  All SEC Institute products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Utah:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Vermont:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Virgin Islands:  All SEC Institute products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Virginia:  SEC Institute’s workshops qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  All SEC Institute products can fulfill Washington’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

West Virginia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wisconsin:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wyoming:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.


CPD Jurisdictions

British Columbia (CPD-BC):  SEC Institute’s workshops qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  SEC Institute’s workshops qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  SEC Institute’s workshops can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of points an attorney can earn via workshops.

United Kingdom (CPD-UK):  SEC Institute’s workshops can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  SEC Institute’s workshops qualify as “live” credit in all Australian jurisdictions. There is no limit to the number of credits an attorney can earn via workshops.

Alberta (CPD-ALBERTA):  All SEC Institute products can fulfill Alberta’s CPD requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Dubai (CLPD-DUBAI):  SEC Institute’s workshops may fulfill CLPD credit requirements.


Other Credit Types

CPE Credit (NASBA): SEC Institute’s workshops qualify as the “Group-Live” delivery method. Please check the Credit Information box on the right-hand side of this page to verify CPE credit availability.

IRS Continuing Education (IRS-CE):  SEC Institute’s workshops may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  SEC Institute’s workshops may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  SEC Institute’s workshops may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  SEC Institute’s workshops may fulfill HR credit requirements.

SHRM Recertification (SHRM):  SEC Institute’s workshops qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  SEC Institute’s workshops qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via workshops.

Certified Anti-Money Laundering Specialists (CAMS):  SEC Institute’s workshops may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  SEC Institute’s workshops may fulfill SW CPE credit requirements.

American Bankers Association Professional Certification (ABA):  SEC Institute’s workshops may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  SEC Institute’s workshops may fulfill CFP credit requirements.

 

Please click here for January-June 2019 dates.

Why You Should Attend

Designed for accounting and financial reporting professionals, this Workshop will help you build the foundational knowledge and practical experience necessary to prepare and review the SEC’s periodic and current reporting forms.

Participants will learn the structure and details of Forms 10-K, 10-Q, and 8-K, with particular emphasis on challenging and complex disclosures and how to effectively use the SEC’s guidance.  Annual proxy requirements and SEC insider trading rules will also be discussed.  Frequent SEC comment areas will be reviewed along with example comments.  This interactive, in-depth Workshop is perfect for beginners or as a refresher for experienced SEC reporting professionals.   

What You Will Learn

  • Key disclosure issues in Forms 10-K, 10-Q and 8-K, and the proxy statement
  • Understanding the structure and use of the SEC’s Integrated Disclosure System, including Regulations S-K and S-X, Staff Accounting Bulletins and all related guidance
  • Mastering the art of writing an effective MD&A
  • Reviewing all of the changes to Regulations S-K and S-X from the SEC’s March 2019 and August 2018 Disclosure Modernization and Simplification Final Rules
  • Reviewing the expanded definition of Smaller Reporting Company and the opportunities it presents for companies
  • Learning the latest developments from the SEC, including Brexit and cybersecurity and other disclosure changes
  • Understanding the SEC staff’s “hot buttons,” including frequent comment areas such as quantified MD&A analysis, non-GAAP measures, revenue recognition, the statement of cash flows, segments and contingencies

What You Should Bring

To customize your Workshop and gain the most benefit from this interactive learning experience, we recommend you bring your company’s or a client’s most recent SEC filings: 10-K, 10-Q, and a recent 8-K.  If you work with a company that is not yet public, filings from a company in your industry are a reasonable alternative.

Who Should Attend

CFOs, controllers and their staff, internal auditors, partners of public accounting firms and their staff, investor relations professionals, audit committee members, and others involved in the preparation of SEC filings will take away valuable practical information and skills necessary to succeed in the current SEC reporting environment. For attorneys, general counsel, in-house counsel and corporate legal staff, we recommend taking our SEC Reporting and Practice Skills Workshop for Lawyers, for a more in-depth analysis of legal issues in SEC reporting.

Program Level:

Basic

Intended Audience:

CFOs, controllers and their staff, internal auditors, partners of public accounting firms and their staff, investor relations professionals, audit committee members, and others involved in the preparation of SEC filings.

Prerequisites:

We recommend some prior experience with the SEC reporting process and use of the Instructions to Forms and Regulations S-K and S-X.

Advanced Preparation:

None


Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Day One: 9:00 a.m. - 5:00 p.m.

9:00 Overview of the SEC's Requirements
  • Learn to use the SEC’s integrated disclosure system, including Regulations S-X and S-K, the Staff Accounting and Staff Legal Bulletins, as a foundation for preparing Forms 10-K, 10-Q, and 8-K
  • Review the changes to S-X and S-K from the SEC’s Disclosure Modernization and Simplification Final Rules
  • Understand how to work with the SEC in the filing review process
  • Explore the mechanics of the filing process and the transition to in-line XBRL
  • Learn the expanded definition of “smaller reporting company” and the benefits of being one


10:30 Networking Break

10:45 Overview of the SEC's Requirements (continued)

12:00 Networking Luncheon

12:30 Drafting Your Annual Report on Form 10-K
  • Learn how to prepare Form 10-K
  • Deal with key disclosures and challenges, including Brexit and cybersecurity disclosures and all the details of change from the SEC’s Disclosure Modernization and Simplification Rules
  • Discuss disclosure controls and their importance in the reporting process


2:15 Networking Break

2:30 Drafting Your Annual Report on Form 10-K (continued)

3:30 The Management's Discussion and Analysis (MD&A) Section and the Private Securities Litigation Reform Act (PSLRA)
  • Prepare and review the MD&A
  • Review the SEC’s guidance for MD&A structure and content
  • Learn key lessons from SEC comment letter issues and SEC enforcement actions
  • Understand the issues in considering not discussing the earliest year presented
  • Learn to apply the SEC’s guidance for the use of non-GAAP measures
  • Understand the key role of the 1995 Private Securities Litigation Reform Act in protection from liability for forward-looking statements

5:00  Adjourn



Day Two: 8:30 a.m. - 4:00 p.m.

8:30 The Management's Discussion and Analysis (MD&A) Section and the Private Securities Litigation Reform Act (PSLRA) (continued)

10:00 Networking Break

10:15 Financial Statement Requirements of Form 10-K
  • Learn to work with Regulation S-X to assure that financial statements include the additional disclosure requirements of the SEC
  • Understand when additional financial statements may be required
  • Review SEC “hot button” issues
  • Understand the role of the PCAOB and the potential impact of new requirements for the auditor’s report


11:45 Networking Luncheon

12:15 Drafting Your Annual Report on Form 10-K (continued)

1:45 Other 1934 Act Reports
  • Drafting Your Quarterly Report on Form 10-Q
    • Learn the requirements for quarterly financial statements
    • Understand the narrative sections of the Form 10-Q
  • Current Reports on Form 8-K
    • Explore which events trigger a Form 8-K filing and what information must be reported
    • Learn the related filing deadlines
    • Review frequently used 8-K items in detail


2:15 Networking Break

2:30 Proxy Statements and Annual Reports to Shareholders
  • Learn the proxy process and information requirements, including the executive compensation disclosures
  • Learn about the Dodd-Frank requirements for pay ratio disclosures
  • Understand the different information requirements of the proxy statement, annual report to shareholders and Form 10-K


3:30 Staying Out of Trouble: Insider Trading and Liability Risks for Corporate Officers, Directors and Principal Shareholders
  • Learn the requirements to report officer and director stock transactions on Forms 3, 4 and 5
  • Understand the risks of insider trading and how to establish a system to reduce risks

4:00 Adjourn

(CFE Field of Study: Fraud)


Instructor(s)
Bob Laux ~ Associate Director, SEC Institute, a Division of PLI
Program Attorney(s)
Robin D. Goldstein ~ Director & Sr. Program Attorney, PLI

San Francisco Seminar Location

PLI California Center, 685 Market Street, San Francisco, California 94105. (800) 260-4754.

San Francisco Hotel Accommodations

Park Central Hotel, 50 Third Street, San Francisco, CA 94103. 415-974-6400. PLI has a corporate rate.  Please book online at Park Central Corporate Rate

Omni Hotel San Francisco, 500 California Street, San Francisco, CA 94104. 415-677-9494.  When calling, please mention Practising Law Institute.  You may also book online at PLI Omni 2019 .

Due to high demand we recommend reserving hotel rooms as early as possible.

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Alaska:  All SEC Institute products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Arizona:  SEC Institute’s workshops qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

California:  SEC Institute’s workshops qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All SEC Institute products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Connecticut: Effective January 1, 2017, all SEC Institute products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Delaware:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Florida:  All SEC Institute products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Georgia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Hawaii:  All SEC Institute products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Idaho:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Illinois:  All SEC Institute products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Indiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Iowa:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Kansas:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Louisiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Maine:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Minnesota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Mississippi:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Missouri:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Montana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nebraska:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nevada:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Hampshire:  All SEC Institute products can fulfill New Hampshire’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

New Jersey:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Mexico:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New York

Experienced Attorneys:  All SEC Institute products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Newly Admitted Attorneys: Select transitional SEC Institute workshops can be used to fulfill the requirements for newly admitted attorneys. Please check the “Credit Information” box on the program page to ensure credit is approved. All credit categories may be earned via transitional SEC Institute workshops.

North Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

North Dakota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Ohio:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oklahoma:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oregon:  All SEC Institute products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Pennsylvania: SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Puerto Rico:  All SEC Institute products can fulfill Puerto Rico’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Rhode Island:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

South Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Tennessee:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Texas:  All SEC Institute products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Utah:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Vermont:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Virgin Islands:  All SEC Institute products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Virginia:  SEC Institute’s workshops qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  All SEC Institute products can fulfill Washington’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

West Virginia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wisconsin:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wyoming:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.


CPD Jurisdictions

British Columbia (CPD-BC):  SEC Institute’s workshops qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  SEC Institute’s workshops qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  SEC Institute’s workshops can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of points an attorney can earn via workshops.

United Kingdom (CPD-UK):  SEC Institute’s workshops can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  SEC Institute’s workshops qualify as “live” credit in all Australian jurisdictions. There is no limit to the number of credits an attorney can earn via workshops.

Alberta (CPD-ALBERTA):  All SEC Institute products can fulfill Alberta’s CPD requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Dubai (CLPD-DUBAI):  SEC Institute’s workshops may fulfill CLPD credit requirements.


Other Credit Types

CPE Credit (NASBA): SEC Institute’s workshops qualify as the “Group-Live” delivery method. Please check the Credit Information box on the right-hand side of this page to verify CPE credit availability.

IRS Continuing Education (IRS-CE):  SEC Institute’s workshops may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  SEC Institute’s workshops may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  SEC Institute’s workshops may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  SEC Institute’s workshops may fulfill HR credit requirements.

SHRM Recertification (SHRM):  SEC Institute’s workshops qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  SEC Institute’s workshops qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via workshops.

Certified Anti-Money Laundering Specialists (CAMS):  SEC Institute’s workshops may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  SEC Institute’s workshops may fulfill SW CPE credit requirements.

American Bankers Association Professional Certification (ABA):  SEC Institute’s workshops may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  SEC Institute’s workshops may fulfill CFP credit requirements.

 

Please click here for January-June 2019 dates.

Why You Should Attend

Designed for accounting and financial reporting professionals, this Workshop will help you build the foundational knowledge and practical experience necessary to prepare and review the SEC’s periodic and current reporting forms.

Participants will learn the structure and details of Forms 10-K, 10-Q, and 8-K, with particular emphasis on challenging and complex disclosures and how to effectively use the SEC’s guidance.  Annual proxy requirements and SEC insider trading rules will also be discussed.  Frequent SEC comment areas will be reviewed along with example comments.  This interactive, in-depth Workshop is perfect for beginners or as a refresher for experienced SEC reporting professionals.   

What You Will Learn

  • Key disclosure issues in Forms 10-K, 10-Q and 8-K, and the proxy statement
  • Understanding the structure and use of the SEC’s Integrated Disclosure System, including Regulations S-K and S-X, Staff Accounting Bulletins and all related guidance
  • Mastering the art of writing an effective MD&A
  • Reviewing all of the changes to Regulations S-K and S-X from the SEC’s March 2019 and August 2018 Disclosure Modernization and Simplification Final Rules
  • Reviewing the expanded definition of Smaller Reporting Company and the opportunities it presents for companies
  • Learning the latest developments from the SEC, including Brexit and cybersecurity and other disclosure changes
  • Understanding the SEC staff’s “hot buttons,” including frequent comment areas such as quantified MD&A analysis, non-GAAP measures, revenue recognition, the statement of cash flows, segments and contingencies

What You Should Bring

To customize your Workshop and gain the most benefit from this interactive learning experience, we recommend you bring your company’s or a client’s most recent SEC filings: 10-K, 10-Q, and a recent 8-K.  If you work with a company that is not yet public, filings from a company in your industry are a reasonable alternative.

Who Should Attend

CFOs, controllers and their staff, internal auditors, partners of public accounting firms and their staff, investor relations professionals, audit committee members, and others involved in the preparation of SEC filings will take away valuable practical information and skills necessary to succeed in the current SEC reporting environment. For attorneys, general counsel, in-house counsel and corporate legal staff, we recommend taking our SEC Reporting and Practice Skills Workshop for Lawyers, for a more in-depth analysis of legal issues in SEC reporting.

Program Level:

Basic

Intended Audience:

CFOs, controllers and their staff, internal auditors, partners of public accounting firms and their staff, investor relations professionals, audit committee members, and others involved in the preparation of SEC filings.

Prerequisites:

We recommend some prior experience with the SEC reporting process and use of the Instructions to Forms and Regulations S-K and S-X.

Advanced Preparation:

None


Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Day One: 9:00 a.m. - 5:00 p.m.

9:00 Overview of the SEC's Requirements
  • Learn to use the SEC’s integrated disclosure system, including Regulations S-X and S-K, the Staff Accounting and Staff Legal Bulletins, as a foundation for preparing Forms 10-K, 10-Q, and 8-K
  • Review the changes to S-X and S-K from the SEC’s Disclosure Modernization and Simplification Final Rules
  • Understand how to work with the SEC in the filing review process
  • Explore the mechanics of the filing process and the transition to in-line XBRL
  • Learn the expanded definition of “smaller reporting company” and the benefits of being one


10:30 Networking Break

10:45 Overview of the SEC's Requirements (continued)

12:00 Networking Luncheon

12:30 Drafting Your Annual Report on Form 10-K
  • Learn how to prepare Form 10-K
  • Deal with key disclosures and challenges, including Brexit and cybersecurity disclosures and all the details of change from the SEC’s Disclosure Modernization and Simplification Rules
  • Discuss disclosure controls and their importance in the reporting process


2:15 Networking Break

2:30 Drafting Your Annual Report on Form 10-K (continued)

3:30 The Management's Discussion and Analysis (MD&A) Section and the Private Securities Litigation Reform Act (PSLRA)
  • Prepare and review the MD&A
  • Review the SEC’s guidance for MD&A structure and content
  • Learn key lessons from SEC comment letter issues and SEC enforcement actions
  • Understand the issues in considering not discussing the earliest year presented
  • Learn to apply the SEC’s guidance for the use of non-GAAP measures
  • Understand the key role of the 1995 Private Securities Litigation Reform Act in protection from liability for forward-looking statements

5:00  Adjourn



Day Two: 8:30 a.m. - 4:00 p.m.

8:30 The Management's Discussion and Analysis (MD&A) Section and the Private Securities Litigation Reform Act (PSLRA) (continued)

10:00 Networking Break

10:15 Financial Statement Requirements of Form 10-K
  • Learn to work with Regulation S-X to assure that financial statements include the additional disclosure requirements of the SEC
  • Understand when additional financial statements may be required
  • Review SEC “hot button” issues
  • Understand the role of the PCAOB and the potential impact of new requirements for the auditor’s report


11:45 Networking Luncheon

12:15 Drafting Your Annual Report on Form 10-K (continued)

1:45 Other 1934 Act Reports
  • Drafting Your Quarterly Report on Form 10-Q
    • Learn the requirements for quarterly financial statements
    • Understand the narrative sections of the Form 10-Q
  • Current Reports on Form 8-K
    • Explore which events trigger a Form 8-K filing and what information must be reported
    • Learn the related filing deadlines
    • Review frequently used 8-K items in detail


2:15 Networking Break

2:30 Proxy Statements and Annual Reports to Shareholders
  • Learn the proxy process and information requirements, including the executive compensation disclosures
  • Learn about the Dodd-Frank requirements for pay ratio disclosures
  • Understand the different information requirements of the proxy statement, annual report to shareholders and Form 10-K


3:30 Staying Out of Trouble: Insider Trading and Liability Risks for Corporate Officers, Directors and Principal Shareholders
  • Learn the requirements to report officer and director stock transactions on Forms 3, 4 and 5
  • Understand the risks of insider trading and how to establish a system to reduce risks

4:00 Adjourn

(CFE Field of Study: Fraud)


Instructor(s)
Bob Laux ~ Associate Director, SEC Institute, a Division of PLI
George M. Wilson, MBA, CPA ~ Director, SEC Institute, a Division of PLI
Program Attorney(s)
Robin D. Goldstein ~ Director & Sr. Program Attorney, PLI
General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.

SEC Institute’s live and on-demand webcasts are single-user license products intended for an individual registrant only. Credit will be issued only to the individual registered. If two or more individuals wish to participate in a webcast and receive credit, PLI would be happy to provide a Groupcast – group viewing of a webcast. To schedule a Groupcast, please contact PLI at groupcasts@pli.edu.


U.S. MCLE States

Alabama:  SEC Institute’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Alaska:  All SEC Institute products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Arizona:  SEC Institute’s live webcasts qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  SEC Institute’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

California:  SEC Institute’s live webcasts qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All SEC Institute products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Connecticut: Effective January 1, 2017, all SEC Institute products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Delaware:  SEC Institute’s live webcasts qualify as “eCLE” credit. Attorneys are limited to 12 credits of eCLE per reporting period.

Florida:  All SEC Institute products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Georgia:  SEC Institute’s live webcasts qualify as “in-house” credit. Attorneys are limited to 6 in-house credits per reporting period.

Hawaii:  All SEC Institute products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Idaho:  SEC Institute’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Illinois:  All SEC Institute products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Indiana:  SEC Institute’s live webcasts qualify as “distance education” credit. Attorneys are limited to 9 credits of distance education per reporting period. Effective January 1, 2019, the limit of distance education per reporting period will increase from 9 to 18 credits.

Iowa:  SEC Institute’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Kansas:  SEC Institute’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Kentucky:  SEC Institute’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Louisiana:  SEC Institute’s live webcasts qualify as “self-study” credit. Attorneys are limited to 4 credits of self-study per reporting period.

Maine:  SEC Institute’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Minnesota:  SEC Institute’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Mississippi:  SEC Institute’s live webcasts qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  SEC Institute’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Montana:  SEC Institute’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Nebraska:  SEC Institute’s live webcasts qualify as “computer-based learning” credit. Attorneys are limited to 5 credits of computer-based learning per reporting period.

Nevada:  SEC Institute’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

New Hampshire:  All SEC Institute products can fulfill New Hampshire’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

New Jersey:  SEC Institute’s live webcasts qualify as “alternative verifiable learning formats” credit. Attorneys are limited to 12 credits of alternative verifiable learning formats per reporting period.

New Mexico:  SEC Institute’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

New York

Experienced Attorneys:  All SEC Institute products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Newly Admitted Attorneys:  SEC Institute’s transitional live webcasts can be used to fulfill the requirements for New York newly admitted attorneys. Ethics credit, professional practice credit, and law practice management credit may be earned via transitional live webcasts. Skills credits may not be earned via live webcasts.

North Carolina:  SEC Institute’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

North Dakota:  SEC Institute’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Ohio:  SEC Institute’s live webcasts qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Oklahoma:  SEC Institute’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Oregon:  All SEC Institute products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Pennsylvania:  SEC Institute’s live webcasts qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Puerto Rico:  All SEC Institute products can fulfill Puerto Rico’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Rhode Island:  SEC Institute’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

South Carolina:  SEC Institute’s live webcasts qualify as “alternatively delivered” credit. Attorneys are limited to 6 credits of alternatively delivered programs per reporting period.

Tennessee:  SEC Institute’s live webcasts qualify as “distance learning” credit. Attorneys are limited to 8 credits of distance learning per reporting period.

Texas:  All SEC Institute products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Utah:  SEC Institute’s live webcasts qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  SEC Institute’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Virgin Islands:  All SEC Institute products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Virginia:  SEC Institute’s live webcasts qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  All SEC Institute products can fulfill Washington’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

West Virginia:  SEC Institute’s live webcasts qualify as “online” credit. Attorneys are limited to 12 credits of online instruction per reporting period.

Wisconsin:  SEC Institute’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Wyoming:  SEC Institute’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.


CPD Jurisdictions

British Columbia (CPD-BC):  SEC Institute’s live webcasts qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  SEC Institute’s live webcasts qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  SEC Institute’s live webcasts can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  SEC Institute’s live webcasts qualify as “distance learning” credit. Attorneys are limited to 15 points of distance learning programs per reporting period.

United Kingdom (CPD-UK):  SEC Institute’s live webcasts can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  SEC Institute’s live webcasts may fulfill Australia’s CPD requirements. Credit limits for live webcasts vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.

Alberta (CPD-ALBERTA):  All SEC Institute products can fulfill Alberta’s CPD requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Dubai (CLPD-DUBAI):  SEC Institute’s live webcasts may fulfill CLPD credit requirements.


Other Credit Types

CPE Credit (NASBA):  SEC Institute’s live webcasts qualify as the “Group-Internet-Based” (GIB) delivery method. Please check the Credit Information box on the right-hand side of this page to verify CPE credit availability.

IRS Continuing Education (IRS-CE):  SEC Institute’s live webcasts may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  SEC Institute’s live webcasts may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  SEC Institute’s live webcasts may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  SEC Institute’s live webcasts may fulfill HR credit requirements.

SHRM Recertification (SHRM):  SEC Institute’s live webcasts qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  SEC Institute’s live webcasts qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live webcasts.

Certified Anti-Money Laundering Specialists (CAMS):  SEC Institute’s live webcasts may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  SEC Institute’s live webcasts may fulfill SW CPE credit requirements.

American Bankers Association Professional Certification (ABA):  SEC Institute’s live webcasts may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  SEC Institute’s live webcasts may fulfill CFP credit requirements.

 

Please click here for January-June 2019 dates.

Why You Should Attend

Designed for accounting and financial reporting professionals, this Workshop will help you build the foundational knowledge and practical experience necessary to prepare and review the SEC’s periodic and current reporting forms.

Participants will learn the structure and details of Forms 10-K, 10-Q, and 8-K, with particular emphasis on challenging and complex disclosures and how to effectively use the SEC’s guidance.  Annual proxy requirements and SEC insider trading rules will also be discussed.  Frequent SEC comment areas will be reviewed along with example comments.  This interactive, in-depth Workshop is perfect for beginners or as a refresher for experienced SEC reporting professionals.   

What You Will Learn

  • Key disclosure issues in Forms 10-K, 10-Q and 8-K, and the proxy statement
  • Understanding the structure and use of the SEC’s Integrated Disclosure System, including Regulations S-K and S-X, Staff Accounting Bulletins and all related guidance
  • Mastering the art of writing an effective MD&A
  • Reviewing all of the changes to Regulations S-K and S-X from the SEC’s March 2019 and August 2018 Disclosure Modernization and Simplification Final Rules
  • Reviewing the expanded definition of Smaller Reporting Company and the opportunities it presents for companies
  • Learning the latest developments from the SEC, including Brexit and cybersecurity and other disclosure changes
  • Understanding the SEC staff’s “hot buttons,” including frequent comment areas such as quantified MD&A analysis, non-GAAP measures, revenue recognition, the statement of cash flows, segments and contingencies

What You Should Bring

To customize your Workshop and gain the most benefit from this interactive learning experience, we recommend you bring your company’s or a client’s most recent SEC filings: 10-K, 10-Q, and a recent 8-K.  If you work with a company that is not yet public, filings from a company in your industry are a reasonable alternative.

Who Should Attend

CFOs, controllers and their staff, internal auditors, partners of public accounting firms and their staff, investor relations professionals, audit committee members, and others involved in the preparation of SEC filings will take away valuable practical information and skills necessary to succeed in the current SEC reporting environment. For attorneys, general counsel, in-house counsel and corporate legal staff, we recommend taking our SEC Reporting and Practice Skills Workshop for Lawyers, for a more in-depth analysis of legal issues in SEC reporting.

Program Level:

Basic

Intended Audience:

CFOs, controllers and their staff, internal auditors, partners of public accounting firms and their staff, investor relations professionals, audit committee members, and others involved in the preparation of SEC filings.

Prerequisites:

We recommend some prior experience with the SEC reporting process and use of the Instructions to Forms and Regulations S-K and S-X.

Advanced Preparation:

None


Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Day One: 9:00 a.m. - 5:00 p.m.

9:00 Overview of the SEC's Requirements
  • Learn to use the SEC’s integrated disclosure system, including Regulations S-X and S-K, the Staff Accounting and Staff Legal Bulletins, as a foundation for preparing Forms 10-K, 10-Q, and 8-K
  • Review the changes to S-X and S-K from the SEC’s Disclosure Modernization and Simplification Final Rules
  • Understand how to work with the SEC in the filing review process
  • Explore the mechanics of the filing process and the transition to in-line XBRL
  • Learn the expanded definition of “smaller reporting company” and the benefits of being one


10:30 Networking Break

10:45 Overview of the SEC's Requirements (continued)

12:00 Networking Luncheon

12:30 Drafting Your Annual Report on Form 10-K
  • Learn how to prepare Form 10-K
  • Deal with key disclosures and challenges, including Brexit and cybersecurity disclosures and all the details of change from the SEC’s Disclosure Modernization and Simplification Rules
  • Discuss disclosure controls and their importance in the reporting process


2:15 Networking Break

2:30 Drafting Your Annual Report on Form 10-K (continued)

3:30 The Management's Discussion and Analysis (MD&A) Section and the Private Securities Litigation Reform Act (PSLRA)
  • Prepare and review the MD&A
  • Review the SEC’s guidance for MD&A structure and content
  • Learn key lessons from SEC comment letter issues and SEC enforcement actions
  • Understand the issues in considering not discussing the earliest year presented
  • Learn to apply the SEC’s guidance for the use of non-GAAP measures
  • Understand the key role of the 1995 Private Securities Litigation Reform Act in protection from liability for forward-looking statements

5:00  Adjourn



Day Two: 8:30 a.m. - 4:00 p.m.

8:30 The Management's Discussion and Analysis (MD&A) Section and the Private Securities Litigation Reform Act (PSLRA) (continued)

10:00 Networking Break

10:15 Financial Statement Requirements of Form 10-K
  • Learn to work with Regulation S-X to assure that financial statements include the additional disclosure requirements of the SEC
  • Understand when additional financial statements may be required
  • Review SEC “hot button” issues
  • Understand the role of the PCAOB and the potential impact of new requirements for the auditor’s report


11:45 Networking Luncheon

12:15 Drafting Your Annual Report on Form 10-K (continued)

1:45 Other 1934 Act Reports
  • Drafting Your Quarterly Report on Form 10-Q
    • Learn the requirements for quarterly financial statements
    • Understand the narrative sections of the Form 10-Q
  • Current Reports on Form 8-K
    • Explore which events trigger a Form 8-K filing and what information must be reported
    • Learn the related filing deadlines
    • Review frequently used 8-K items in detail


2:15 Networking Break

2:30 Proxy Statements and Annual Reports to Shareholders
  • Learn the proxy process and information requirements, including the executive compensation disclosures
  • Learn about the Dodd-Frank requirements for pay ratio disclosures
  • Understand the different information requirements of the proxy statement, annual report to shareholders and Form 10-K


3:30 Staying Out of Trouble: Insider Trading and Liability Risks for Corporate Officers, Directors and Principal Shareholders
  • Learn the requirements to report officer and director stock transactions on Forms 3, 4 and 5
  • Understand the risks of insider trading and how to establish a system to reduce risks

4:00 Adjourn

(CFE Field of Study: Fraud)


Instructor(s)
Bob Laux ~ Associate Director, SEC Institute, a Division of PLI
George M. Wilson, MBA, CPA ~ Director, SEC Institute, a Division of PLI
Program Attorney(s)
Robin D. Goldstein ~ Director & Sr. Program Attorney, PLI

New York City Seminar Location

PLI New York Center
, 1177 Avenue of the Americas, (2nd floor), entrance on 45th Street, New York, New York 10036. (800) 260-4754.

New York City Hotel Accommodations

Crowne Plaza Times Square Manhattan, 1605 Broadway (48th Street), New York, NY 10019 (212) 977-4000. When calling, mention Practising Law Institute. You can also make reservations online to access PLI's rates.

The Muse, 130 West 46th Street, New York, NY 10036. Please call reservations at 1-800-546-7866. When calling, please mention Practising Law Institute and Corporate Rate ID 786839408. In addition, you can book online at PLI Muse Hotel

Millennium Broadway Hotel, 145 West 44th Street, New York, NY 10036. Please call reservations at 1-800-622-5569. When calling, please mention Practising Law Institute. In addition, you can book online at PLI Millennium Hotel .

 Hyatt Times Square, 135 W. 45th Street, New York, NY 10036. For reservations, please call (646) 364-1234. When calling mention rate code CR56218 or Practising Law Institute.

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Alaska:  All SEC Institute products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Arizona:  SEC Institute’s workshops qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

California:  SEC Institute’s workshops qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All SEC Institute products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Connecticut: Effective January 1, 2017, all SEC Institute products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Delaware:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Florida:  All SEC Institute products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Georgia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Hawaii:  All SEC Institute products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Idaho:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Illinois:  All SEC Institute products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Indiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Iowa:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Kansas:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Louisiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Maine:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Minnesota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Mississippi:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Missouri:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Montana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nebraska:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nevada:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Hampshire:  All SEC Institute products can fulfill New Hampshire’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

New Jersey:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Mexico:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New York

Experienced Attorneys:  All SEC Institute products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Newly Admitted Attorneys: Select transitional SEC Institute workshops can be used to fulfill the requirements for newly admitted attorneys. Please check the “Credit Information” box on the program page to ensure credit is approved. All credit categories may be earned via transitional SEC Institute workshops.

North Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

North Dakota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Ohio:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oklahoma:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oregon:  All SEC Institute products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Pennsylvania: SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Puerto Rico:  All SEC Institute products can fulfill Puerto Rico’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Rhode Island:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

South Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Tennessee:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Texas:  All SEC Institute products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Utah:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Vermont:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Virgin Islands:  All SEC Institute products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Virginia:  SEC Institute’s workshops qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  All SEC Institute products can fulfill Washington’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

West Virginia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wisconsin:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wyoming:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.


CPD Jurisdictions

British Columbia (CPD-BC):  SEC Institute’s workshops qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  SEC Institute’s workshops qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  SEC Institute’s workshops can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of points an attorney can earn via workshops.

United Kingdom (CPD-UK):  SEC Institute’s workshops can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  SEC Institute’s workshops qualify as “live” credit in all Australian jurisdictions. There is no limit to the number of credits an attorney can earn via workshops.

Alberta (CPD-ALBERTA):  All SEC Institute products can fulfill Alberta’s CPD requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Dubai (CLPD-DUBAI):  SEC Institute’s workshops may fulfill CLPD credit requirements.


Other Credit Types

CPE Credit (NASBA): SEC Institute’s workshops qualify as the “Group-Live” delivery method. Please check the Credit Information box on the right-hand side of this page to verify CPE credit availability.

IRS Continuing Education (IRS-CE):  SEC Institute’s workshops may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  SEC Institute’s workshops may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  SEC Institute’s workshops may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  SEC Institute’s workshops may fulfill HR credit requirements.

SHRM Recertification (SHRM):  SEC Institute’s workshops qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  SEC Institute’s workshops qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via workshops.

Certified Anti-Money Laundering Specialists (CAMS):  SEC Institute’s workshops may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  SEC Institute’s workshops may fulfill SW CPE credit requirements.

American Bankers Association Professional Certification (ABA):  SEC Institute’s workshops may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  SEC Institute’s workshops may fulfill CFP credit requirements.

 

Please click here for January-June 2019 dates.

Why You Should Attend

Designed for accounting and financial reporting professionals, this Workshop will help you build the foundational knowledge and practical experience necessary to prepare and review the SEC’s periodic and current reporting forms.

Participants will learn the structure and details of Forms 10-K, 10-Q, and 8-K, with particular emphasis on challenging and complex disclosures and how to effectively use the SEC’s guidance.  Annual proxy requirements and SEC insider trading rules will also be discussed.  Frequent SEC comment areas will be reviewed along with example comments.  This interactive, in-depth Workshop is perfect for beginners or as a refresher for experienced SEC reporting professionals.   

What You Will Learn

  • Key disclosure issues in Forms 10-K, 10-Q and 8-K, and the proxy statement
  • Understanding the structure and use of the SEC’s Integrated Disclosure System, including Regulations S-K and S-X, Staff Accounting Bulletins and all related guidance
  • Mastering the art of writing an effective MD&A
  • Reviewing all of the changes to Regulations S-K and S-X from the SEC’s March 2019 and August 2018 Disclosure Modernization and Simplification Final Rules
  • Reviewing the expanded definition of Smaller Reporting Company and the opportunities it presents for companies
  • Learning the latest developments from the SEC, including Brexit and cybersecurity and other disclosure changes
  • Understanding the SEC staff’s “hot buttons,” including frequent comment areas such as quantified MD&A analysis, non-GAAP measures, revenue recognition, the statement of cash flows, segments and contingencies

What You Should Bring

To customize your Workshop and gain the most benefit from this interactive learning experience, we recommend you bring your company’s or a client’s most recent SEC filings: 10-K, 10-Q, and a recent 8-K.  If you work with a company that is not yet public, filings from a company in your industry are a reasonable alternative.

Who Should Attend

CFOs, controllers and their staff, internal auditors, partners of public accounting firms and their staff, investor relations professionals, audit committee members, and others involved in the preparation of SEC filings will take away valuable practical information and skills necessary to succeed in the current SEC reporting environment. For attorneys, general counsel, in-house counsel and corporate legal staff, we recommend taking our SEC Reporting and Practice Skills Workshop for Lawyers, for a more in-depth analysis of legal issues in SEC reporting.

Program Level:

Basic

Intended Audience:

CFOs, controllers and their staff, internal auditors, partners of public accounting firms and their staff, investor relations professionals, audit committee members, and others involved in the preparation of SEC filings.

Prerequisites:

We recommend some prior experience with the SEC reporting process and use of the Instructions to Forms and Regulations S-K and S-X.

Advanced Preparation:

None


Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Day One: 9:00 a.m. - 5:00 p.m.

9:00 Overview of the SEC's Requirements
  • Learn to use the SEC’s integrated disclosure system, including Regulations S-X and S-K, the Staff Accounting and Staff Legal Bulletins, as a foundation for preparing Forms 10-K, 10-Q, and 8-K
  • Review the changes to S-X and S-K from the SEC’s Disclosure Modernization and Simplification Final Rules
  • Understand how to work with the SEC in the filing review process
  • Explore the mechanics of the filing process and the transition to in-line XBRL
  • Learn the expanded definition of “smaller reporting company” and the benefits of being one


10:30 Networking Break

10:45 Overview of the SEC's Requirements (continued)

12:00 Networking Luncheon

12:30 Drafting Your Annual Report on Form 10-K
  • Learn how to prepare Form 10-K
  • Deal with key disclosures and challenges, including Brexit and cybersecurity disclosures and all the details of change from the SEC’s Disclosure Modernization and Simplification Rules
  • Discuss disclosure controls and their importance in the reporting process


2:15 Networking Break

2:30 Drafting Your Annual Report on Form 10-K (continued)

3:30 The Management's Discussion and Analysis (MD&A) Section and the Private Securities Litigation Reform Act (PSLRA)
  • Prepare and review the MD&A
  • Review the SEC’s guidance for MD&A structure and content
  • Learn key lessons from SEC comment letter issues and SEC enforcement actions
  • Understand the issues in considering not discussing the earliest year presented
  • Learn to apply the SEC’s guidance for the use of non-GAAP measures
  • Understand the key role of the 1995 Private Securities Litigation Reform Act in protection from liability for forward-looking statements

5:00  Adjourn



Day Two: 8:30 a.m. - 4:00 p.m.

8:30 The Management's Discussion and Analysis (MD&A) Section and the Private Securities Litigation Reform Act (PSLRA) (continued)

10:00 Networking Break

10:15 Financial Statement Requirements of Form 10-K
  • Learn to work with Regulation S-X to assure that financial statements include the additional disclosure requirements of the SEC
  • Understand when additional financial statements may be required
  • Review SEC “hot button” issues
  • Understand the role of the PCAOB and the potential impact of new requirements for the auditor’s report


11:45 Networking Luncheon

12:15 Drafting Your Annual Report on Form 10-K (continued)

1:45 Other 1934 Act Reports
  • Drafting Your Quarterly Report on Form 10-Q
    • Learn the requirements for quarterly financial statements
    • Understand the narrative sections of the Form 10-Q
  • Current Reports on Form 8-K
    • Explore which events trigger a Form 8-K filing and what information must be reported
    • Learn the related filing deadlines
    • Review frequently used 8-K items in detail


2:15 Networking Break

2:30 Proxy Statements and Annual Reports to Shareholders
  • Learn the proxy process and information requirements, including the executive compensation disclosures
  • Learn about the Dodd-Frank requirements for pay ratio disclosures
  • Understand the different information requirements of the proxy statement, annual report to shareholders and Form 10-K


3:30 Staying Out of Trouble: Insider Trading and Liability Risks for Corporate Officers, Directors and Principal Shareholders
  • Learn the requirements to report officer and director stock transactions on Forms 3, 4 and 5
  • Understand the risks of insider trading and how to establish a system to reduce risks

4:00 Adjourn

(CFE Field of Study: Fraud)


Instructor(s)
George M. Wilson, MBA, CPA ~ Director, SEC Institute, a Division of PLI
Program Attorney(s)
Robin D. Goldstein ~ Director & Sr. Program Attorney, PLI

Chicago Seminar Location

University of Chicago Gleacher Center, 450 N. Cityfront Plaza Drive, Chicago, Il 60611. (312) 464-8787.

Hotel Accommodation

Loews Chicago Hotel, 455 North Park Drive, Chicago, IL 60611.  Please book online at https://www.loewshotels.com/chicago-downtown/practising-law-institute .  You can also call the hotel directly at (312) 840-6600 and reference Practising Law Institute.  Please note this is a corporate rate rather than a group rate. 

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Alaska:  All SEC Institute products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Arizona:  SEC Institute’s workshops qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

California:  SEC Institute’s workshops qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All SEC Institute products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Connecticut: Effective January 1, 2017, all SEC Institute products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Delaware:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Florida:  All SEC Institute products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Georgia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Hawaii:  All SEC Institute products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Idaho:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Illinois:  All SEC Institute products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Indiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Iowa:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Kansas:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Louisiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Maine:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Minnesota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Mississippi:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Missouri:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Montana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nebraska:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nevada:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Hampshire:  All SEC Institute products can fulfill New Hampshire’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

New Jersey:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Mexico:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New York

Experienced Attorneys:  All SEC Institute products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Newly Admitted Attorneys: Select transitional SEC Institute workshops can be used to fulfill the requirements for newly admitted attorneys. Please check the “Credit Information” box on the program page to ensure credit is approved. All credit categories may be earned via transitional SEC Institute workshops.

North Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

North Dakota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Ohio:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oklahoma:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oregon:  All SEC Institute products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Pennsylvania: SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Puerto Rico:  All SEC Institute products can fulfill Puerto Rico’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Rhode Island:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

South Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Tennessee:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Texas:  All SEC Institute products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Utah:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Vermont:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Virgin Islands:  All SEC Institute products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Virginia:  SEC Institute’s workshops qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  All SEC Institute products can fulfill Washington’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

West Virginia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wisconsin:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wyoming:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.


CPD Jurisdictions

British Columbia (CPD-BC):  SEC Institute’s workshops qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  SEC Institute’s workshops qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  SEC Institute’s workshops can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of points an attorney can earn via workshops.

United Kingdom (CPD-UK):  SEC Institute’s workshops can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  SEC Institute’s workshops qualify as “live” credit in all Australian jurisdictions. There is no limit to the number of credits an attorney can earn via workshops.

Alberta (CPD-ALBERTA):  All SEC Institute products can fulfill Alberta’s CPD requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Dubai (CLPD-DUBAI):  SEC Institute’s workshops may fulfill CLPD credit requirements.


Other Credit Types

CPE Credit (NASBA): SEC Institute’s workshops qualify as the “Group-Live” delivery method. Please check the Credit Information box on the right-hand side of this page to verify CPE credit availability.

IRS Continuing Education (IRS-CE):  SEC Institute’s workshops may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  SEC Institute’s workshops may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  SEC Institute’s workshops may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  SEC Institute’s workshops may fulfill HR credit requirements.

SHRM Recertification (SHRM):  SEC Institute’s workshops qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  SEC Institute’s workshops qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via workshops.

Certified Anti-Money Laundering Specialists (CAMS):  SEC Institute’s workshops may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  SEC Institute’s workshops may fulfill SW CPE credit requirements.

American Bankers Association Professional Certification (ABA):  SEC Institute’s workshops may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  SEC Institute’s workshops may fulfill CFP credit requirements.

 

Please click here for January-June 2019 dates.

Why You Should Attend

Designed for accounting and financial reporting professionals, this Workshop will help you build the foundational knowledge and practical experience necessary to prepare and review the SEC’s periodic and current reporting forms.

Participants will learn the structure and details of Forms 10-K, 10-Q, and 8-K, with particular emphasis on challenging and complex disclosures and how to effectively use the SEC’s guidance.  Annual proxy requirements and SEC insider trading rules will also be discussed.  Frequent SEC comment areas will be reviewed along with example comments.  This interactive, in-depth Workshop is perfect for beginners or as a refresher for experienced SEC reporting professionals.   

What You Will Learn

  • Key disclosure issues in Forms 10-K, 10-Q and 8-K, and the proxy statement
  • Understanding the structure and use of the SEC’s Integrated Disclosure System, including Regulations S-K and S-X, Staff Accounting Bulletins and all related guidance
  • Mastering the art of writing an effective MD&A
  • Reviewing all of the changes to Regulations S-K and S-X from the SEC’s March 2019 and August 2018 Disclosure Modernization and Simplification Final Rules
  • Reviewing the expanded definition of Smaller Reporting Company and the opportunities it presents for companies
  • Learning the latest developments from the SEC, including Brexit and cybersecurity and other disclosure changes
  • Understanding the SEC staff’s “hot buttons,” including frequent comment areas such as quantified MD&A analysis, non-GAAP measures, revenue recognition, the statement of cash flows, segments and contingencies

What You Should Bring

To customize your Workshop and gain the most benefit from this interactive learning experience, we recommend you bring your company’s or a client’s most recent SEC filings: 10-K, 10-Q, and a recent 8-K.  If you work with a company that is not yet public, filings from a company in your industry are a reasonable alternative.

Who Should Attend

CFOs, controllers and their staff, internal auditors, partners of public accounting firms and their staff, investor relations professionals, audit committee members, and others involved in the preparation of SEC filings will take away valuable practical information and skills necessary to succeed in the current SEC reporting environment. For attorneys, general counsel, in-house counsel and corporate legal staff, we recommend taking our SEC Reporting and Practice Skills Workshop for Lawyers, for a more in-depth analysis of legal issues in SEC reporting.

Program Level:

Basic

Intended Audience:

CFOs, controllers and their staff, internal auditors, partners of public accounting firms and their staff, investor relations professionals, audit committee members, and others involved in the preparation of SEC filings.

Prerequisites:

We recommend some prior experience with the SEC reporting process and use of the Instructions to Forms and Regulations S-K and S-X.

Advanced Preparation:

None


Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Day One: 9:00 a.m. - 5:00 p.m.

9:00 Overview of the SEC's Requirements
  • Learn to use the SEC’s integrated disclosure system, including Regulations S-X and S-K, the Staff Accounting and Staff Legal Bulletins, as a foundation for preparing Forms 10-K, 10-Q, and 8-K
  • Review the changes to S-X and S-K from the SEC’s Disclosure Modernization and Simplification Final Rules
  • Understand how to work with the SEC in the filing review process
  • Explore the mechanics of the filing process and the transition to in-line XBRL
  • Learn the expanded definition of “smaller reporting company” and the benefits of being one


10:30 Networking Break

10:45 Overview of the SEC's Requirements (continued)

12:00 Networking Luncheon

12:30 Drafting Your Annual Report on Form 10-K
  • Learn how to prepare Form 10-K
  • Deal with key disclosures and challenges, including Brexit and cybersecurity disclosures and all the details of change from the SEC’s Disclosure Modernization and Simplification Rules
  • Discuss disclosure controls and their importance in the reporting process


2:15 Networking Break

2:30 Drafting Your Annual Report on Form 10-K (continued)

3:30 The Management's Discussion and Analysis (MD&A) Section and the Private Securities Litigation Reform Act (PSLRA)
  • Prepare and review the MD&A
  • Review the SEC’s guidance for MD&A structure and content
  • Learn key lessons from SEC comment letter issues and SEC enforcement actions
  • Understand the issues in considering not discussing the earliest year presented
  • Learn to apply the SEC’s guidance for the use of non-GAAP measures
  • Understand the key role of the 1995 Private Securities Litigation Reform Act in protection from liability for forward-looking statements

5:00  Adjourn



Day Two: 8:30 a.m. - 4:00 p.m.

8:30 The Management's Discussion and Analysis (MD&A) Section and the Private Securities Litigation Reform Act (PSLRA) (continued)

10:00 Networking Break

10:15 Financial Statement Requirements of Form 10-K
  • Learn to work with Regulation S-X to assure that financial statements include the additional disclosure requirements of the SEC
  • Understand when additional financial statements may be required
  • Review SEC “hot button” issues
  • Understand the role of the PCAOB and the potential impact of new requirements for the auditor’s report


11:45 Networking Luncheon

12:15 Drafting Your Annual Report on Form 10-K (continued)

1:45 Other 1934 Act Reports
  • Drafting Your Quarterly Report on Form 10-Q
    • Learn the requirements for quarterly financial statements
    • Understand the narrative sections of the Form 10-Q
  • Current Reports on Form 8-K
    • Explore which events trigger a Form 8-K filing and what information must be reported
    • Learn the related filing deadlines
    • Review frequently used 8-K items in detail


2:15 Networking Break

2:30 Proxy Statements and Annual Reports to Shareholders
  • Learn the proxy process and information requirements, including the executive compensation disclosures
  • Learn about the Dodd-Frank requirements for pay ratio disclosures
  • Understand the different information requirements of the proxy statement, annual report to shareholders and Form 10-K


3:30 Staying Out of Trouble: Insider Trading and Liability Risks for Corporate Officers, Directors and Principal Shareholders
  • Learn the requirements to report officer and director stock transactions on Forms 3, 4 and 5
  • Understand the risks of insider trading and how to establish a system to reduce risks

4:00 Adjourn

(CFE Field of Study: Fraud)


Instructor(s)
Cheryl L. Linthicum, PhD, CPA, CMA ~ Professor of Accounting and former Associate Dean, College of Business, The University of Texas at San Antonio
Program Attorney(s)
Robin D. Goldstein ~ Director & Sr. Program Attorney, PLI

Seminar and Hotel Accommodations

Waldorf Astoria Orlando, 14200 Bonnet Creek Resort Lane, Orlando, FL 32821.  A block of rooms has been reserved for this program.  Please call the hotel at 1-888-353-2013 and reference code WPRA.  In addition, you can book online at SEC Reporting Skills Workshop Orlando.  The cut off date for the preferred rate is October 18, 2019.

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Alaska:  All SEC Institute products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Arizona:  SEC Institute’s workshops qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

California:  SEC Institute’s workshops qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All SEC Institute products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Connecticut: Effective January 1, 2017, all SEC Institute products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Delaware:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Florida:  All SEC Institute products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Georgia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Hawaii:  All SEC Institute products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Idaho:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Illinois:  All SEC Institute products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Indiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Iowa:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Kansas:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Louisiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Maine:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Minnesota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Mississippi:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Missouri:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Montana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nebraska:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nevada:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Hampshire:  All SEC Institute products can fulfill New Hampshire’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

New Jersey:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Mexico:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New York

Experienced Attorneys:  All SEC Institute products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Newly Admitted Attorneys: Select transitional SEC Institute workshops can be used to fulfill the requirements for newly admitted attorneys. Please check the “Credit Information” box on the program page to ensure credit is approved. All credit categories may be earned via transitional SEC Institute workshops.

North Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

North Dakota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Ohio:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oklahoma:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oregon:  All SEC Institute products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Pennsylvania: SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Puerto Rico:  All SEC Institute products can fulfill Puerto Rico’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Rhode Island:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

South Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Tennessee:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Texas:  All SEC Institute products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Utah:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Vermont:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Virgin Islands:  All SEC Institute products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Virginia:  SEC Institute’s workshops qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  All SEC Institute products can fulfill Washington’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

West Virginia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wisconsin:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wyoming:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.


CPD Jurisdictions

British Columbia (CPD-BC):  SEC Institute’s workshops qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  SEC Institute’s workshops qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  SEC Institute’s workshops can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of points an attorney can earn via workshops.

United Kingdom (CPD-UK):  SEC Institute’s workshops can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  SEC Institute’s workshops qualify as “live” credit in all Australian jurisdictions. There is no limit to the number of credits an attorney can earn via workshops.

Alberta (CPD-ALBERTA):  All SEC Institute products can fulfill Alberta’s CPD requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Dubai (CLPD-DUBAI):  SEC Institute’s workshops may fulfill CLPD credit requirements.


Other Credit Types

CPE Credit (NASBA): SEC Institute’s workshops qualify as the “Group-Live” delivery method. Please check the Credit Information box on the right-hand side of this page to verify CPE credit availability.

IRS Continuing Education (IRS-CE):  SEC Institute’s workshops may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  SEC Institute’s workshops may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  SEC Institute’s workshops may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  SEC Institute’s workshops may fulfill HR credit requirements.

SHRM Recertification (SHRM):  SEC Institute’s workshops qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  SEC Institute’s workshops qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via workshops.

Certified Anti-Money Laundering Specialists (CAMS):  SEC Institute’s workshops may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  SEC Institute’s workshops may fulfill SW CPE credit requirements.

American Bankers Association Professional Certification (ABA):  SEC Institute’s workshops may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  SEC Institute’s workshops may fulfill CFP credit requirements.

 

Please click here for January-June 2019 dates.

Why You Should Attend

Designed for accounting and financial reporting professionals, this Workshop will help you build the foundational knowledge and practical experience necessary to prepare and review the SEC’s periodic and current reporting forms.

Participants will learn the structure and details of Forms 10-K, 10-Q, and 8-K, with particular emphasis on challenging and complex disclosures and how to effectively use the SEC’s guidance.  Annual proxy requirements and SEC insider trading rules will also be discussed.  Frequent SEC comment areas will be reviewed along with example comments.  This interactive, in-depth Workshop is perfect for beginners or as a refresher for experienced SEC reporting professionals.   

What You Will Learn

  • Key disclosure issues in Forms 10-K, 10-Q and 8-K, and the proxy statement
  • Understanding the structure and use of the SEC’s Integrated Disclosure System, including Regulations S-K and S-X, Staff Accounting Bulletins and all related guidance
  • Mastering the art of writing an effective MD&A
  • Reviewing all of the changes to Regulations S-K and S-X from the SEC’s March 2019 and August 2018 Disclosure Modernization and Simplification Final Rules
  • Reviewing the expanded definition of Smaller Reporting Company and the opportunities it presents for companies
  • Learning the latest developments from the SEC, including Brexit and cybersecurity and other disclosure changes
  • Understanding the SEC staff’s “hot buttons,” including frequent comment areas such as quantified MD&A analysis, non-GAAP measures, revenue recognition, the statement of cash flows, segments and contingencies

What You Should Bring

To customize your Workshop and gain the most benefit from this interactive learning experience, we recommend you bring your company’s or a client’s most recent SEC filings: 10-K, 10-Q, and a recent 8-K.  If you work with a company that is not yet public, filings from a company in your industry are a reasonable alternative.

Who Should Attend

CFOs, controllers and their staff, internal auditors, partners of public accounting firms and their staff, investor relations professionals, audit committee members, and others involved in the preparation of SEC filings will take away valuable practical information and skills necessary to succeed in the current SEC reporting environment. For attorneys, general counsel, in-house counsel and corporate legal staff, we recommend taking our SEC Reporting and Practice Skills Workshop for Lawyers, for a more in-depth analysis of legal issues in SEC reporting.

Program Level:

Basic

Intended Audience:

CFOs, controllers and their staff, internal auditors, partners of public accounting firms and their staff, investor relations professionals, audit committee members, and others involved in the preparation of SEC filings.

Prerequisites:

We recommend some prior experience with the SEC reporting process and use of the Instructions to Forms and Regulations S-K and S-X.

Advanced Preparation:

None


Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Day One: 9:00 a.m. - 5:00 p.m.

9:00 Overview of the SEC's Requirements
  • Learn to use the SEC’s integrated disclosure system, including Regulations S-X and S-K, the Staff Accounting and Staff Legal Bulletins, as a foundation for preparing Forms 10-K, 10-Q, and 8-K
  • Review the changes to S-X and S-K from the SEC’s Disclosure Modernization and Simplification Final Rules
  • Understand how to work with the SEC in the filing review process
  • Explore the mechanics of the filing process and the transition to in-line XBRL
  • Learn the expanded definition of “smaller reporting company” and the benefits of being one


10:30 Networking Break

10:45 Overview of the SEC's Requirements (continued)

12:00 Networking Luncheon

12:30 Drafting Your Annual Report on Form 10-K
  • Learn how to prepare Form 10-K
  • Deal with key disclosures and challenges, including Brexit and cybersecurity disclosures and all the details of change from the SEC’s Disclosure Modernization and Simplification Rules
  • Discuss disclosure controls and their importance in the reporting process


2:15 Networking Break

2:30 Drafting Your Annual Report on Form 10-K (continued)

3:30 The Management's Discussion and Analysis (MD&A) Section and the Private Securities Litigation Reform Act (PSLRA)
  • Prepare and review the MD&A
  • Review the SEC’s guidance for MD&A structure and content
  • Learn key lessons from SEC comment letter issues and SEC enforcement actions
  • Understand the issues in considering not discussing the earliest year presented
  • Learn to apply the SEC’s guidance for the use of non-GAAP measures
  • Understand the key role of the 1995 Private Securities Litigation Reform Act in protection from liability for forward-looking statements

5:00  Adjourn



Day Two: 8:30 a.m. - 4:00 p.m.

8:30 The Management's Discussion and Analysis (MD&A) Section and the Private Securities Litigation Reform Act (PSLRA) (continued)

10:00 Networking Break

10:15 Financial Statement Requirements of Form 10-K
  • Learn to work with Regulation S-X to assure that financial statements include the additional disclosure requirements of the SEC
  • Understand when additional financial statements may be required
  • Review SEC “hot button” issues
  • Understand the role of the PCAOB and the potential impact of new requirements for the auditor’s report


11:45 Networking Luncheon

12:15 Drafting Your Annual Report on Form 10-K (continued)

1:45 Other 1934 Act Reports
  • Drafting Your Quarterly Report on Form 10-Q
    • Learn the requirements for quarterly financial statements
    • Understand the narrative sections of the Form 10-Q
  • Current Reports on Form 8-K
    • Explore which events trigger a Form 8-K filing and what information must be reported
    • Learn the related filing deadlines
    • Review frequently used 8-K items in detail


2:15 Networking Break

2:30 Proxy Statements and Annual Reports to Shareholders
  • Learn the proxy process and information requirements, including the executive compensation disclosures
  • Learn about the Dodd-Frank requirements for pay ratio disclosures
  • Understand the different information requirements of the proxy statement, annual report to shareholders and Form 10-K


3:30 Staying Out of Trouble: Insider Trading and Liability Risks for Corporate Officers, Directors and Principal Shareholders
  • Learn the requirements to report officer and director stock transactions on Forms 3, 4 and 5
  • Understand the risks of insider trading and how to establish a system to reduce risks

4:00 Adjourn

(CFE Field of Study: Fraud)


Instructor(s)
George M. Wilson, MBA, CPA ~ Director, SEC Institute, a Division of PLI
Program Attorney(s)
Robin D. Goldstein ~ Director & Sr. Program Attorney, PLI
Atlanta Seminar Location

AMA Executive Center,
1170 Peachtree St. NE, Atlanta, GA 30309. (404) 892-7599.

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Alaska:  All SEC Institute products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Arizona:  SEC Institute’s workshops qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

California:  SEC Institute’s workshops qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All SEC Institute products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Connecticut: Effective January 1, 2017, all SEC Institute products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Delaware:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Florida:  All SEC Institute products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Georgia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Hawaii:  All SEC Institute products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Idaho:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Illinois:  All SEC Institute products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Indiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Iowa:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Kansas:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Louisiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Maine:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Minnesota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Mississippi:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Missouri:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Montana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nebraska:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nevada:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Hampshire:  All SEC Institute products can fulfill New Hampshire’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

New Jersey:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Mexico:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New York

Experienced Attorneys:  All SEC Institute products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Newly Admitted Attorneys: Select transitional SEC Institute workshops can be used to fulfill the requirements for newly admitted attorneys. Please check the “Credit Information” box on the program page to ensure credit is approved. All credit categories may be earned via transitional SEC Institute workshops.

North Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

North Dakota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Ohio:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oklahoma:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oregon:  All SEC Institute products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Pennsylvania: SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Puerto Rico:  All SEC Institute products can fulfill Puerto Rico’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Rhode Island:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

South Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Tennessee:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Texas:  All SEC Institute products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Utah:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Vermont:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Virgin Islands:  All SEC Institute products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Virginia:  SEC Institute’s workshops qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  All SEC Institute products can fulfill Washington’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

West Virginia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wisconsin:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wyoming:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.


CPD Jurisdictions

British Columbia (CPD-BC):  SEC Institute’s workshops qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  SEC Institute’s workshops qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  SEC Institute’s workshops can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of points an attorney can earn via workshops.

United Kingdom (CPD-UK):  SEC Institute’s workshops can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  SEC Institute’s workshops qualify as “live” credit in all Australian jurisdictions. There is no limit to the number of credits an attorney can earn via workshops.

Alberta (CPD-ALBERTA):  All SEC Institute products can fulfill Alberta’s CPD requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Dubai (CLPD-DUBAI):  SEC Institute’s workshops may fulfill CLPD credit requirements.


Other Credit Types

CPE Credit (NASBA): SEC Institute’s workshops qualify as the “Group-Live” delivery method. Please check the Credit Information box on the right-hand side of this page to verify CPE credit availability.

IRS Continuing Education (IRS-CE):  SEC Institute’s workshops may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  SEC Institute’s workshops may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  SEC Institute’s workshops may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  SEC Institute’s workshops may fulfill HR credit requirements.

SHRM Recertification (SHRM):  SEC Institute’s workshops qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  SEC Institute’s workshops qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via workshops.

Certified Anti-Money Laundering Specialists (CAMS):  SEC Institute’s workshops may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  SEC Institute’s workshops may fulfill SW CPE credit requirements.

American Bankers Association Professional Certification (ABA):  SEC Institute’s workshops may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  SEC Institute’s workshops may fulfill CFP credit requirements.

 

Please click here for January-June 2019 dates.

Why You Should Attend

Designed for accounting and financial reporting professionals, this Workshop will help you build the foundational knowledge and practical experience necessary to prepare and review the SEC’s periodic and current reporting forms.

Participants will learn the structure and details of Forms 10-K, 10-Q, and 8-K, with particular emphasis on challenging and complex disclosures and how to effectively use the SEC’s guidance.  Annual proxy requirements and SEC insider trading rules will also be discussed.  Frequent SEC comment areas will be reviewed along with example comments.  This interactive, in-depth Workshop is perfect for beginners or as a refresher for experienced SEC reporting professionals.   

What You Will Learn

  • Key disclosure issues in Forms 10-K, 10-Q and 8-K, and the proxy statement
  • Understanding the structure and use of the SEC’s Integrated Disclosure System, including Regulations S-K and S-X, Staff Accounting Bulletins and all related guidance
  • Mastering the art of writing an effective MD&A
  • Reviewing all of the changes to Regulations S-K and S-X from the SEC’s March 2019 and August 2018 Disclosure Modernization and Simplification Final Rules
  • Reviewing the expanded definition of Smaller Reporting Company and the opportunities it presents for companies
  • Learning the latest developments from the SEC, including Brexit and cybersecurity and other disclosure changes
  • Understanding the SEC staff’s “hot buttons,” including frequent comment areas such as quantified MD&A analysis, non-GAAP measures, revenue recognition, the statement of cash flows, segments and contingencies

What You Should Bring

To customize your Workshop and gain the most benefit from this interactive learning experience, we recommend you bring your company’s or a client’s most recent SEC filings: 10-K, 10-Q, and a recent 8-K.  If you work with a company that is not yet public, filings from a company in your industry are a reasonable alternative.

Who Should Attend

CFOs, controllers and their staff, internal auditors, partners of public accounting firms and their staff, investor relations professionals, audit committee members, and others involved in the preparation of SEC filings will take away valuable practical information and skills necessary to succeed in the current SEC reporting environment. For attorneys, general counsel, in-house counsel and corporate legal staff, we recommend taking our SEC Reporting and Practice Skills Workshop for Lawyers, for a more in-depth analysis of legal issues in SEC reporting.

Program Level:

Basic

Intended Audience:

CFOs, controllers and their staff, internal auditors, partners of public accounting firms and their staff, investor relations professionals, audit committee members, and others involved in the preparation of SEC filings.

Prerequisites:

We recommend some prior experience with the SEC reporting process and use of the Instructions to Forms and Regulations S-K and S-X.

Advanced Preparation:

None


Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Day One: 9:00 a.m. - 5:00 p.m.

9:00 Overview of the SEC's Requirements
  • Learn to use the SEC’s integrated disclosure system, including Regulations S-X and S-K, the Staff Accounting and Staff Legal Bulletins, as a foundation for preparing Forms 10-K, 10-Q, and 8-K
  • Review the changes to S-X and S-K from the SEC’s Disclosure Modernization and Simplification Final Rules
  • Understand how to work with the SEC in the filing review process
  • Explore the mechanics of the filing process and the transition to in-line XBRL
  • Learn the expanded definition of “smaller reporting company” and the benefits of being one


10:30 Networking Break

10:45 Overview of the SEC's Requirements (continued)

12:00 Networking Luncheon

12:30 Drafting Your Annual Report on Form 10-K
  • Learn how to prepare Form 10-K
  • Deal with key disclosures and challenges, including Brexit and cybersecurity disclosures and all the details of change from the SEC’s Disclosure Modernization and Simplification Rules
  • Discuss disclosure controls and their importance in the reporting process


2:15 Networking Break

2:30 Drafting Your Annual Report on Form 10-K (continued)

3:30 The Management's Discussion and Analysis (MD&A) Section and the Private Securities Litigation Reform Act (PSLRA)
  • Prepare and review the MD&A
  • Review the SEC’s guidance for MD&A structure and content
  • Learn key lessons from SEC comment letter issues and SEC enforcement actions
  • Understand the issues in considering not discussing the earliest year presented
  • Learn to apply the SEC’s guidance for the use of non-GAAP measures
  • Understand the key role of the 1995 Private Securities Litigation Reform Act in protection from liability for forward-looking statements

5:00  Adjourn



Day Two: 8:30 a.m. - 4:00 p.m.

8:30 The Management's Discussion and Analysis (MD&A) Section and the Private Securities Litigation Reform Act (PSLRA) (continued)

10:00 Networking Break

10:15 Financial Statement Requirements of Form 10-K
  • Learn to work with Regulation S-X to assure that financial statements include the additional disclosure requirements of the SEC
  • Understand when additional financial statements may be required
  • Review SEC “hot button” issues
  • Understand the role of the PCAOB and the potential impact of new requirements for the auditor’s report


11:45 Networking Luncheon

12:15 Drafting Your Annual Report on Form 10-K (continued)

1:45 Other 1934 Act Reports
  • Drafting Your Quarterly Report on Form 10-Q
    • Learn the requirements for quarterly financial statements
    • Understand the narrative sections of the Form 10-Q
  • Current Reports on Form 8-K
    • Explore which events trigger a Form 8-K filing and what information must be reported
    • Learn the related filing deadlines
    • Review frequently used 8-K items in detail


2:15 Networking Break

2:30 Proxy Statements and Annual Reports to Shareholders
  • Learn the proxy process and information requirements, including the executive compensation disclosures
  • Learn about the Dodd-Frank requirements for pay ratio disclosures
  • Understand the different information requirements of the proxy statement, annual report to shareholders and Form 10-K


3:30 Staying Out of Trouble: Insider Trading and Liability Risks for Corporate Officers, Directors and Principal Shareholders
  • Learn the requirements to report officer and director stock transactions on Forms 3, 4 and 5
  • Understand the risks of insider trading and how to establish a system to reduce risks

4:00 Adjourn

(CFE Field of Study: Fraud)


Instructor(s)
Cheryl L. Linthicum, PhD, CPA, CMA ~ Professor of Accounting and former Associate Dean, College of Business, The University of Texas at San Antonio
Program Attorney(s)
Robin D. Goldstein ~ Director & Sr. Program Attorney, PLI

San Francisco Seminar Location

PLI California Center, 685 Market Street, San Francisco, California 94105. (800) 260-4754.

San Francisco Hotel Accommodations

Park Central Hotel, 50 Third Street, San Francisco, CA 94103. 415-974-6400. PLI has a corporate rate.  Please book online at Park Central Corporate Rate

Omni Hotel San Francisco, 500 California Street, San Francisco, CA 94104. 415-677-9494.  When calling, please mention Practising Law Institute.  You may also book online at PLI Omni 2019 .

Due to high demand we recommend reserving hotel rooms as early as possible.

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Alaska:  All SEC Institute products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Arizona:  SEC Institute’s workshops qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

California:  SEC Institute’s workshops qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All SEC Institute products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Connecticut: Effective January 1, 2017, all SEC Institute products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Delaware:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Florida:  All SEC Institute products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Georgia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Hawaii:  All SEC Institute products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Idaho:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Illinois:  All SEC Institute products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Indiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Iowa:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Kansas:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Louisiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Maine:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Minnesota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Mississippi:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Missouri:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Montana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nebraska:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nevada:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Hampshire:  All SEC Institute products can fulfill New Hampshire’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

New Jersey:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Mexico:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New York

Experienced Attorneys:  All SEC Institute products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Newly Admitted Attorneys: Select transitional SEC Institute workshops can be used to fulfill the requirements for newly admitted attorneys. Please check the “Credit Information” box on the program page to ensure credit is approved. All credit categories may be earned via transitional SEC Institute workshops.

North Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

North Dakota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Ohio:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oklahoma:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oregon:  All SEC Institute products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Pennsylvania: SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Puerto Rico:  All SEC Institute products can fulfill Puerto Rico’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Rhode Island:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

South Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Tennessee:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Texas:  All SEC Institute products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Utah:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Vermont:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Virgin Islands:  All SEC Institute products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Virginia:  SEC Institute’s workshops qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  All SEC Institute products can fulfill Washington’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

West Virginia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wisconsin:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wyoming:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.


CPD Jurisdictions

British Columbia (CPD-BC):  SEC Institute’s workshops qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  SEC Institute’s workshops qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  SEC Institute’s workshops can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of points an attorney can earn via workshops.

United Kingdom (CPD-UK):  SEC Institute’s workshops can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  SEC Institute’s workshops qualify as “live” credit in all Australian jurisdictions. There is no limit to the number of credits an attorney can earn via workshops.

Alberta (CPD-ALBERTA):  All SEC Institute products can fulfill Alberta’s CPD requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Dubai (CLPD-DUBAI):  SEC Institute’s workshops may fulfill CLPD credit requirements.


Other Credit Types

CPE Credit (NASBA): SEC Institute’s workshops qualify as the “Group-Live” delivery method. Please check the Credit Information box on the right-hand side of this page to verify CPE credit availability.

IRS Continuing Education (IRS-CE):  SEC Institute’s workshops may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  SEC Institute’s workshops may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  SEC Institute’s workshops may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  SEC Institute’s workshops may fulfill HR credit requirements.

SHRM Recertification (SHRM):  SEC Institute’s workshops qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  SEC Institute’s workshops qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via workshops.

Certified Anti-Money Laundering Specialists (CAMS):  SEC Institute’s workshops may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  SEC Institute’s workshops may fulfill SW CPE credit requirements.

American Bankers Association Professional Certification (ABA):  SEC Institute’s workshops may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  SEC Institute’s workshops may fulfill CFP credit requirements.

 

Please click here for January-June 2019 dates.

Why You Should Attend

Designed for accounting and financial reporting professionals, this Workshop will help you build the foundational knowledge and practical experience necessary to prepare and review the SEC’s periodic and current reporting forms.

Participants will learn the structure and details of Forms 10-K, 10-Q, and 8-K, with particular emphasis on challenging and complex disclosures and how to effectively use the SEC’s guidance.  Annual proxy requirements and SEC insider trading rules will also be discussed.  Frequent SEC comment areas will be reviewed along with example comments.  This interactive, in-depth Workshop is perfect for beginners or as a refresher for experienced SEC reporting professionals.   

What You Will Learn

  • Key disclosure issues in Forms 10-K, 10-Q and 8-K, and the proxy statement
  • Understanding the structure and use of the SEC’s Integrated Disclosure System, including Regulations S-K and S-X, Staff Accounting Bulletins and all related guidance
  • Mastering the art of writing an effective MD&A
  • Reviewing all of the changes to Regulations S-K and S-X from the SEC’s March 2019 and August 2018 Disclosure Modernization and Simplification Final Rules
  • Reviewing the expanded definition of Smaller Reporting Company and the opportunities it presents for companies
  • Learning the latest developments from the SEC, including Brexit and cybersecurity and other disclosure changes
  • Understanding the SEC staff’s “hot buttons,” including frequent comment areas such as quantified MD&A analysis, non-GAAP measures, revenue recognition, the statement of cash flows, segments and contingencies

What You Should Bring

To customize your Workshop and gain the most benefit from this interactive learning experience, we recommend you bring your company’s or a client’s most recent SEC filings: 10-K, 10-Q, and a recent 8-K.  If you work with a company that is not yet public, filings from a company in your industry are a reasonable alternative.

Who Should Attend

CFOs, controllers and their staff, internal auditors, partners of public accounting firms and their staff, investor relations professionals, audit committee members, and others involved in the preparation of SEC filings will take away valuable practical information and skills necessary to succeed in the current SEC reporting environment. For attorneys, general counsel, in-house counsel and corporate legal staff, we recommend taking our SEC Reporting and Practice Skills Workshop for Lawyers, for a more in-depth analysis of legal issues in SEC reporting.

Program Level:

Basic

Intended Audience:

CFOs, controllers and their staff, internal auditors, partners of public accounting firms and their staff, investor relations professionals, audit committee members, and others involved in the preparation of SEC filings.

Prerequisites:

We recommend some prior experience with the SEC reporting process and use of the Instructions to Forms and Regulations S-K and S-X.

Advanced Preparation:

None


Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Day One: 9:00 a.m. - 5:00 p.m.

9:00 Overview of the SEC's Requirements
  • Learn to use the SEC’s integrated disclosure system, including Regulations S-X and S-K, the Staff Accounting and Staff Legal Bulletins, as a foundation for preparing Forms 10-K, 10-Q, and 8-K
  • Review the changes to S-X and S-K from the SEC’s Disclosure Modernization and Simplification Final Rules
  • Understand how to work with the SEC in the filing review process
  • Explore the mechanics of the filing process and the transition to in-line XBRL
  • Learn the expanded definition of “smaller reporting company” and the benefits of being one


10:30 Networking Break

10:45 Overview of the SEC's Requirements (continued)

12:00 Networking Luncheon

12:30 Drafting Your Annual Report on Form 10-K
  • Learn how to prepare Form 10-K
  • Deal with key disclosures and challenges, including Brexit and cybersecurity disclosures and all the details of change from the SEC’s Disclosure Modernization and Simplification Rules
  • Discuss disclosure controls and their importance in the reporting process


2:15 Networking Break

2:30 Drafting Your Annual Report on Form 10-K (continued)

3:30 The Management's Discussion and Analysis (MD&A) Section and the Private Securities Litigation Reform Act (PSLRA)
  • Prepare and review the MD&A
  • Review the SEC’s guidance for MD&A structure and content
  • Learn key lessons from SEC comment letter issues and SEC enforcement actions
  • Understand the issues in considering not discussing the earliest year presented
  • Learn to apply the SEC’s guidance for the use of non-GAAP measures
  • Understand the key role of the 1995 Private Securities Litigation Reform Act in protection from liability for forward-looking statements

5:00  Adjourn



Day Two: 8:30 a.m. - 4:00 p.m.

8:30 The Management's Discussion and Analysis (MD&A) Section and the Private Securities Litigation Reform Act (PSLRA) (continued)

10:00 Networking Break

10:15 Financial Statement Requirements of Form 10-K
  • Learn to work with Regulation S-X to assure that financial statements include the additional disclosure requirements of the SEC
  • Understand when additional financial statements may be required
  • Review SEC “hot button” issues
  • Understand the role of the PCAOB and the potential impact of new requirements for the auditor’s report


11:45 Networking Luncheon

12:15 Drafting Your Annual Report on Form 10-K (continued)

1:45 Other 1934 Act Reports
  • Drafting Your Quarterly Report on Form 10-Q
    • Learn the requirements for quarterly financial statements
    • Understand the narrative sections of the Form 10-Q
  • Current Reports on Form 8-K
    • Explore which events trigger a Form 8-K filing and what information must be reported
    • Learn the related filing deadlines
    • Review frequently used 8-K items in detail


2:15 Networking Break

2:30 Proxy Statements and Annual Reports to Shareholders
  • Learn the proxy process and information requirements, including the executive compensation disclosures
  • Learn about the Dodd-Frank requirements for pay ratio disclosures
  • Understand the different information requirements of the proxy statement, annual report to shareholders and Form 10-K


3:30 Staying Out of Trouble: Insider Trading and Liability Risks for Corporate Officers, Directors and Principal Shareholders
  • Learn the requirements to report officer and director stock transactions on Forms 3, 4 and 5
  • Understand the risks of insider trading and how to establish a system to reduce risks

4:00 Adjourn

(CFE Field of Study: Fraud)


Instructor(s)
Cheryl L. Linthicum, PhD, CPA, CMA ~ Professor of Accounting and former Associate Dean, College of Business, The University of Texas at San Antonio
Program Attorney(s)
Robin D. Goldstein ~ Director & Sr. Program Attorney, PLI

New York City Seminar Location

PLI New York Center
, 1177 Avenue of the Americas, (2nd floor), entrance on 45th Street, New York, New York 10036. (800) 260-4754.

New York City Hotel Accommodations

Crowne Plaza Times Square Manhattan, 1605 Broadway (48th Street), New York, NY 10019 (212) 977-4000. When calling, mention Practising Law Institute. You can also make reservations online to access PLI's rates.

The Muse, 130 West 46th Street, New York, NY 10036. Please call reservations at 1-800-546-7866. When calling, please mention Practising Law Institute and Corporate Rate ID 786839408. In addition, you can book online at PLI Muse Hotel

Millennium Broadway Hotel, 145 West 44th Street, New York, NY 10036. Please call reservations at 1-800-622-5569. When calling, please mention Practising Law Institute. In addition, you can book online at PLI Millennium Hotel .

 Hyatt Times Square, 135 W. 45th Street, New York, NY 10036. For reservations, please call (646) 364-1234. When calling mention rate code CR56218 or Practising Law Institute.

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Alaska:  All SEC Institute products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Arizona:  SEC Institute’s workshops qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

California:  SEC Institute’s workshops qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All SEC Institute products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Connecticut: Effective January 1, 2017, all SEC Institute products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Delaware:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Florida:  All SEC Institute products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Georgia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Hawaii:  All SEC Institute products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Idaho:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Illinois:  All SEC Institute products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Indiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Iowa:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Kansas:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Louisiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Maine:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Minnesota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Mississippi:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Missouri:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Montana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nebraska:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nevada:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Hampshire:  All SEC Institute products can fulfill New Hampshire’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

New Jersey:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Mexico:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New York

Experienced Attorneys:  All SEC Institute products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Newly Admitted Attorneys: Select transitional SEC Institute workshops can be used to fulfill the requirements for newly admitted attorneys. Please check the “Credit Information” box on the program page to ensure credit is approved. All credit categories may be earned via transitional SEC Institute workshops.

North Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

North Dakota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Ohio:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oklahoma:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oregon:  All SEC Institute products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Pennsylvania: SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Puerto Rico:  All SEC Institute products can fulfill Puerto Rico’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Rhode Island:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

South Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Tennessee:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Texas:  All SEC Institute products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Utah:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Vermont:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Virgin Islands:  All SEC Institute products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Virginia:  SEC Institute’s workshops qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  All SEC Institute products can fulfill Washington’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

West Virginia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wisconsin:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wyoming:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.


CPD Jurisdictions

British Columbia (CPD-BC):  SEC Institute’s workshops qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  SEC Institute’s workshops qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  SEC Institute’s workshops can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of points an attorney can earn via workshops.

United Kingdom (CPD-UK):  SEC Institute’s workshops can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  SEC Institute’s workshops qualify as “live” credit in all Australian jurisdictions. There is no limit to the number of credits an attorney can earn via workshops.

Alberta (CPD-ALBERTA):  All SEC Institute products can fulfill Alberta’s CPD requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Dubai (CLPD-DUBAI):  SEC Institute’s workshops may fulfill CLPD credit requirements.


Other Credit Types

CPE Credit (NASBA): SEC Institute’s workshops qualify as the “Group-Live” delivery method. Please check the Credit Information box on the right-hand side of this page to verify CPE credit availability.

IRS Continuing Education (IRS-CE):  SEC Institute’s workshops may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  SEC Institute’s workshops may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  SEC Institute’s workshops may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  SEC Institute’s workshops may fulfill HR credit requirements.

SHRM Recertification (SHRM):  SEC Institute’s workshops qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  SEC Institute’s workshops qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via workshops.

Certified Anti-Money Laundering Specialists (CAMS):  SEC Institute’s workshops may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  SEC Institute’s workshops may fulfill SW CPE credit requirements.

American Bankers Association Professional Certification (ABA):  SEC Institute’s workshops may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  SEC Institute’s workshops may fulfill CFP credit requirements.

 

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