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The Essential Guide to SEC Form 10-K: Compliance, Disclosures, and Best Practices
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The Essential Guide to SEC Form 10-K: Compliance, Disclosures, and Best Practices
Course Description:
This course provides a deep dive into SEC Form 10-K. This course addresses the key requirements and regulatory aspects, including filing deadlines and their significance for investors. This course also addresses the financial statements section, covering the balance sheet, income statement, cash flow statement, and footnote disclosures, along with best practices for preparation. The course also focuses on the Management’s Discussion and Analysis (MD&A) section, exploring its importance in the explanation of financial results and addressing common drafting challenges. Finally, this course discusses risk factors, internal controls, and corporate governance disclosures, highlighting their role in enhancing transparency.
Learning Objectives:
Upon successful completion of this course, participants will be able to:
Course Description:
This course provides a deep dive into SEC Form 10-K. This course addresses the key requirements and regulatory aspects, including filing deadlines and their significance for investors. This course also addresses the financial statements section, covering the balance sheet, income statement, cash flow statement, and footnote disclosures, along with best practices for preparation. The course also focuses on the Management’s Discussion and Analysis (MD&A) section, exploring its importance in the explanation of financial results and addressing common drafting challenges. Finally, this course discusses risk factors, internal controls, and corporate governance disclosures, highlighting their role in enhancing transparency.
Learning Objectives:
Upon successful completion of this course, participants will be able to:
- Identify the key components of SEC Form 10-K and their relevance to financial reporting.
- Recognize the regulatory requirements and compliance aspects associated with filing Form 10-K.
- Distinguish between the filing deadlines for Form 10-K and the consequences of non-compliance
- Identify the key components and classifications of financial statements included in SEC Form 10-K
- Recognize the significance of each financial statement in assessing a company’s financial health
- Distinguish between critical accounting policies and estimates that impact financial reporting
- Determine the role of footnote disclosures in providing additional context to financial statements
- Recognize common pitfalls in financial statement disclosures from effective disclosure practices
- Identify key elements of MD&A
- Distinguish between liquidity and capital resources in MD&A
- Recognize best practices for drafting effective MD&A disclosures
- Identify common challenges in MD&A reporting
- Recognize the significance of critical accounting estimates in MD&A
- Identify the methods companies use to determine and communicate risk factors in SEC Form 10-K
- Recognize the key components of ICFR and their significance in accurate financial reporting
- Distinguish between various elements of executive compensation disclosures required in Form 10-K
- Determine the role and responsibilities of audit committees in corporate governance
- Recognize best practices for board composition and independence that enhance corporate governance and investor confidence
Course Number:
KC101
NASBA Field of Study:
Accounting
Level:
Basic
Author/Instructor:
Kelen F. Camehl, CPA, MBA
Publication Date:
October 2024
CPE Credits:
4
Prerequisites:
None
Advanced Preparation:
None
KC101
NASBA Field of Study:
Accounting
Level:
Basic
Author/Instructor:
Kelen F. Camehl, CPA, MBA
Publication Date:
October 2024
CPE Credits:
4
Prerequisites:
None
Advanced Preparation:
None
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