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Form 10-K and How to Avoid Regulatory Actions From the SEC

Gain an understanding of Form 10-K and what is required to complete it.

The annual report on Form 10-K is the major disclosure report filed with the Securities and Exchange Commission by publicly-traded companies. Whether you read Form 10-K reports or write them, the Form 10-K report is one of the most significant documents that a publicly-traded company issues. For the investor, Form 10-K is a snapshot of the company at a particular point in time. For the writer, Form 10-K is an opportunity to protect the company from lawsuits and enforcement actions. This course helps those who prepare Form 10-K and investors who read Form 10-K to know what Form 10-K mandates, how to read a Form 10-K, and how to include good disclosure, which will head off future liability.

100 minutes
Course Exam
Certificate of Completion
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Why Lorman?

Over 37 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Agenda

Introduction

  • The Integrated Disclosure System

The Parts of the Form 10-K Report

  • The Cover Page
  • Items 1 Through 7A: Narrative Disclosure
  • Items 8 Through 9A: The Financial Report
  • Items 10 Through 14: Corporate Governance
  • Item 15: Exhibits

Principles of Good Disclosure

  • Plain English
  • Forward-Looking Statements
  • Trends and Uncertainties

Examples of Liability

  • SEC Actions and Private Lawsuits
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Why Lorman?

Over 37 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Credits

OnDemand Course

This course was last revised on March 21, 2022.

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

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

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Why Lorman?

Over 37 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Faculty

Christopher J. Bonner, Esq.

Christopher J. Bonner, Esq.

Barclay Damon LLP

  • Counsel to Barclay Damon LLP
  • Practicing law in securities and transactional matters since 1980
  • Advises public and private companies on securities and transactional matters and SEC compliance
  • Frequent speaker on Sarbanes-Oxley, Exchange Act compliance, corporate governance, and other securities and corporate topics
  • Member, American Bar Association, Business Law Section, Corporate Governance Committee
  • J.D. degree, Harvard Law School
  • Can be contacted at 315-425-2708 or [email protected]
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Why Lorman?

Over 37 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

All of your training, right here at Lorman

All of your training, right here at Lorman.

Pay once and get a full year of unlimited training in any format, any time!

  • OnDemand Courses
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  • Executive Reports
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  • State Specific Credit Tracker
  • All-Access Pass Course Concierge

Questions? Call 877-296-2169 to speak with a real person.

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Product ID: 409804
Published 2022
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