Workshop Leaders:
Gary M. Brown, Partner, Nelson Mullins Riley & Scarborough LLP George M. Wilson, Director, SEC Institute, a Division of PLI
We hope you will join us for this virtual Workshop, where participants will develop an in-depth understanding of the reporting and filing requirements of the U.S. Securities and Exchange Commission. Workshop participants will build the foundational knowledge and practical experience necessary to understand, prepare and review periodic and current reports and proxy statements in order to comply with the SEC’s detailed disclosure requirements. This Workshop is co-taught by leading experts in both the legal and accounting fields and is a helpful review for any lawyers who desire to keep their SEC reporting skills up to date.
Key Topics Will Include:
Key disclosure issues in Forms 10-K, 10-Q and 8-K, and the proxy statement
The SEC’s Disclosure Modernization and Simplification rules for MD&A and business disclosures, and other recent and proposed amendments
Communicating with the public within the constraints of the SEC’s rules and guidance
Insider trading policies and Rule 10b5-1 plans
Registering securities for offer and sale under the Securities Act of 1933 and certain of the exemptions from registration
Compliance with Section 16 reporting and disclosure requirements
Keys to writing an effective MD&A
Frequent SEC comment areas, including disclosures about the impact of COVID-19, known trends and uncertainties, executive compensation matters, non-GAAP measures, contingencies, BREXIT, cybersecurity, revenue recognition and segments
