Course Handbook  Course Handbook

SEC Reporting Skills Workshop for Financial Professionals 2019

Publication Date: March 2019 Number of Volumes: 1
ISBN Number: na Page Count: 0 pages

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Table of Contents
Chapter 1: SEC Institute, What You Need to Know as a Reporting Company Regarding the Securities Legislation and Its Related Reporting Requirements (Updated December 2018)
Chapter 2: U.S. Securities and Exchange Commission, Division of Corporation Finance, Financial Reporting Manual (pages 1–15) (Updated as of December 1, 2017)
Chapter 3: U.S. Securities and Exchange Commission, Division of Corporation Finance, Filing Review Process (Modified October 23, 2018)
Chapter 4: SEC Institute, Drafting Form 10-K (Updated December 10, 2018)
Chapter 5: SEC Institute, Implementing the SEC’s Disclosure Simplification and Update Rule for Forms 10-K and 10-Q (Updated as of October 18, 2018)
Chapter 6: The Procter & Gamble Company, Form 10-K for the Fiscal Year Ended June 30, 2018
Chapter 7: SEC Staff Comment and Response Letters Regarding Amazon.com Inc. Form 10-K for the Fiscal Year Ended December 31, 2017, Form 10-Q for the Quarterly Period Ended June 30, 2018, Filed February 2, 2018 and July 27, 2018, File No. 0-22513
Chapter 8: SEC Institute, Reminder List: A Creative Approach to Writing Your MD&A (Revised December 2018)
Chapter 9: Blackbaud, Inc., Form 10-K for the Fiscal Year Ended December 31, 2016 (pages 56–59: Critical Accounting Estimates)
Chapter 10: SEC Institute, SEC Guidance for Non-GAAP Measures (Revised December 2018)
Chapter 11: U.S. Securities and Exchange Commission, Compliance & Disclosure Interpretations: Non-GAAP Financial Measures (Updated April 4, 2018)
Chapter 12: United States of America Before the Securities and Exchange Commission, In the Matter of Caterpillar Inc., Order Instituting Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934 and Opinion and Order of the Commission
Chapter 13: United States of America Before the Securities and Exchange Commission, Exchange Release No. 40305, AAER No. 1061, Administrative Proceeding File No. 3-9666, In the Matter of Sony Corporation and Sumio Sano, Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934 and Findings and Order of the Commission (August 5, 1998)
Chapter 14: United States of America Before the Securities and Exchange Commission, Exchange Release No. 72888, Administrative Proceeding File No. 3-16028, In the Matter of Bank of America Corporation, Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Cease-and-Desist Order and Civil Penalty (August 21, 2014)
Chapter 15: United States of America Before the Securities and Exchange Commission, Exchange Release No.80947, AAER No. 3877, Administrative Proceeding File No. 3-18024, In the Matter of Eric W. Kirchner and Richard G. Rodick, Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Cease-and-Desist Order (June 15, 2017)
Chapter 16: United States of America Before the Securities and Exchange Commission, Exchange Release No. 34046, AAER No. 561, Administrative Proceeding File No. 3-8362, In the Matter of Salant Corporation and Martin F. Tynan (May 12, 1994)
Chapter 17: W. Brinkley Dickerson, Jr., Troutman Sanders LLP, MD&A “Top-Down” Checklist
Chapter 18: Goldman Sachs Group, Inc., Prospectus, filed pursuant to Rule 424B4, excerpt of the Report of Independent Accountants on Management’s Discussion and Analysis of Financial Condition and Results of Operations (filed May 4, 1999), available at https://www.sec.gov/Archives/edgar/data/886982/0000950123-99-004070.txt
Chapter 19: Boris Feldman, Navigating the Safe Harbor for Forward-Looking Statements
Chapter 20: SEC Institute, Recent Enforcement Releases from the SEC: Xerox, Microsoft, America Online, Waste Management, Delphi Corporation, PACCAR, JDA Software, and Saba Software
Chapter 21: SEC Institute, General Filing Requirements of Form 10-Q (Revised December 2018)
Chapter 22: The Procter & Gamble Company, Form 10-Q for the Quarterly Period Ended September 30, 2018
Chapter 23: SEC Institute, Form 8-K General Filing Requirements (Revised December 2018)
Chapter 24: Nelson Mullins, Form 8-K Quick Reference Guide
Chapter 25: SEC Institute, The Proxy Statement Rules (Including Requirements of the Annual Report to Shareholders) (Revised December 2018)
Chapter 26: U.S. Securities and Exchange Commission, Staff Observations in the Review of Executive Compensation Disclosure (October 9, 2007)
Chapter 27: SEC Institute, Section 16 of the 1934 Act—The “Insider Trading” Rules (Revised December 2018)
Chapter 28: Gary M. Brown, Template: Insider Trading Compliance Policy
Chapter 29: Morrison Foerster LLP, Frequently Asked Questions About Rule 10B5-1 Plans
Chapter 30: Alan F. Denenberg, Joseph A. Hall, Michael Kaplan, William M. Kelly, Linda Chatman Thomsen, Richard D. Truesdell, Jr. and Janice Brunner, Davis Polk LLP, Client Memorandum, Rule 10b5-1 Plans: What You Need to Know (January 18, 2013)
Chapter 31: U.S. Securities and Exchange Commission, Press Release No. 2014-190, SEC Announces Charges Against Corporate Insiders for Violating Laws Requiring Prompt Reporting of Transactions and Holdings (September 10, 2014)
Chapter 32: U.S. Securities and Exchange Commission, Press Release No. 2018-261, SEC Settles Insider Trading Claims Against Former Chairman and CEO of Advanced Medical Optics (November 13, 2018)
Chapter 33: Securities and Exchange Commission v. James V. Mazzo, David L. Parker, and Eddie C. Murray, Litigation Release No. 22451, Case No. SACV-121327JST-(JPRX), Complaint for Violations of the Federal Securities Laws (C.D. Cal. Aug. 17, 2012)
Chapter 34: Securities and Exchange Commission v. Douglas V. Decinces, Joseph J. Donohue, Fred Scott Jackson, Roger A. Wittenbach, Litigation Release No. 22062, Case No. SACV11-1168DOC (ANX), Complaint for Violations of the Federal Securities Laws (C.D. Cal. Aug. 4, 2011)

This Course Handbook was compiled for the program, SEC Reporting Skills Workshop for Financial Professionals 2019.

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

Chairperson(s)
Bob Laux, SEC Institute, a Division of PLI
Cheryl L. Linthicum, The University of Texas at San Antonio
Lawrence Shapiro, BDO USA, LLP
George M. Wilson, SEC Institute, a Division of PLI
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