SECURITIES AND OTHER FINANCIAL PRODUCTS
PART 1 : INTRODUCTION Background of Periodic Reporting Requirements General Principles
PART 2 : FORM 10-K 1 Form 10-K — Cover Page 2 Form 10-K — Part I 3 Form 10-K — Part II 4 Form 10-K — Part III 5 Form 10-K — Part IV
PART 3 : FORM 10-Q 6 Form 10-Q — Cover Page 7 Form 10-Q — Part I : Financial
Information 8 Form 10-Q — Part II : Other
Information
PART 4 : APPENDICES Table of Appendices 1 Helpful Definitions 2 Annual Report on Form 10-K 3 Form 10-K Disclosure Controls
Template Checklist
MASTER THE 10-K AND 10-Q Gary M . Brown ( Nelson Mullins Riley & Scarborough LLP )
Part of PLI ’ s SEC Compliance and Disclosure series , this factual and practical guide dives into best processes and worthwhile considerations for completing the SEC ’ s annual Form 10-K and quarterly Form 10-Q . Ideal for securities practitioners and anyone who prepares periodic SEC forms , this work was developed by a frequent PLI and SEC Institute ( SECI ) instructor with over 30 years of experience steering public companies through their SEC disclosure obligations . Readers will explore the nuances of Forms 10-K and 10-Q and their numerous disclosure items , all while learning key pointers that can help mitigate potential Exchange Act liability .
Stay current with SEC disclosure requirements with PLI ’ s Upkeep Service .
1 softbound volume or digital , 758 pages , $ 207 , Item # 393661 , ISBN 978-1-4024-4536-1
CONTENTS
GARY M . BROWN
4 Form 10-K Compliance
Checklist 5 Quarterly Report on Form 10-Q 6 Form 10-Q Disclosure Controls
Template Checklist 7 Form 10-Q Compliance
Checklist 8 Rule 12b-25 and Form 12b-25 9 Form 15 10 Form 25 11 Exchange Act Section 21E 12 Regulation G 13 Regulation AB ( Excerpts ) 14 Select Exchange Act
Regulations 15 Schedule 14A , Item 9 ( e ) 16 Regulation S-K ( Excerpts ) 17 SEC Compliance & Disclosure Interpretations : Form 10-K and Form 10-Q
18 SEC Compliance & Disclosure
Interpretations : Regulation S-K 19 Template Clawback Policy 20 Template Insider Trading Policy
MASTER THE 8-K Gary M . Brown ( Nelson Mullins Riley & Scarborough LLP )
Securities lawyers and professionals responsible for completing a company ’ s periodic SEC reports will learn best practices for completing Form 8-K . This title , part of PLI ’ s SEC Compliance and Disclosure series , includes practical guidance from a prominent PLI faculty member on disclosing important public company events and acquisitions .
This handbook walks readers through Form 8-K itself before exploring filing deadlines , applicable safe harbors , previously-reported events , “ furnished ” and “ filed ” information , and rules for asset-backed issuers . Readers will receive up-to-date SEC interpretations and excerpts on Regulations AB , FD , G , S-K , and S-X . They will also review sample disclosure language and analysis on cybersecurity incidents , material contracts , confidential data , SPACs , de-SPAC transactions , and “ significant ” acquisitions .
To truly master the 8-K , practitioners and professionals must account for new regulations when preparing filings . PLI ’ s Upkeep Service helps readers take this necessary step .
1 softbound volume or digital , 412 pages , $ 207 , Item # 395393 , ISBN 978-1-4024-4555-2
CONTENTS
PART 1 : INTRODUCTION Background of 8-K
Requirements General Principles
PART 2 : DETAILED ANALYSIS OF EVENTS TO BE REPORTED
Sections 1 Registrant ’ s Business and Operations 2 Financial Information 3 Securities and
Trading Markets
4 Matters Related to Accountants and Financial Statements 5 Corporate Governance and Management 6 Asset-Backed Securities 7 Regulation FD 8 Other Events 9 Financial Statements and
Exhibits
PART 3 : APPENDICES 1 Current Report on
Form 8-K 2 Regulation S-K , Item 601 3 Regulation G 4 Regulation S-K , Item 10 ( e ) 5 Regulation FD 6 Regulation S-K , Item 401 7 Regulation S-K , Item 404 8 Regulation AB ( Excerpts ) 9 Regulation S-X ( Excerpts ) 10 SEC Compliance &
Disclosure Interpretations 11 Regulation S-K , Item 106
10 | Click on Book Image to Order !