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

OnDemand Webinar (95 minutes)

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 topic helps those who prepare Form 10-K and investors who read Form 10-K to know what the Form 10-K report mandates, how to read a Form 10-K, and how to include good disclosure, which will head off future liability.


Christopher J. Bonner, Esq., Barclay Damon LLP



• 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