Form 10-K: A Hands-On Workshop Webinar


Form 10-K is the major year-end reporting process for companies filing an annual report with the SEC. Current requirements make it crucial to fully understand the legal, accounting and disclosure rules. Using recent 10-Ks filed with the SEC, this webinar will give you the ability to:

  • Master the Form 10-K process
  • Understand the SEC’s Smaller Reporting Company System
  • Stay updated on the SEC’s disclosure guidance
  • Avoid SEC triggers for comments and regulatory actions



To provide accountants and other financial professionals with a detailed knowledge of how to complete Form 10-K. Participants will gain practical experience by working through examples of actual 10-Ks on an item-by-item basis.

  • Benefits of the registrant category “smaller reporting company”
  • Regulations S-K and S-X
  • Detailed review of each 10-K item, specifically:
    – Items 1: Business; and 1A: Risk factors
    – Item 1B: Unresolved SEC staff comments
    – Item 2: Properties
    – Items 3: Legal proceedings; and 4: Mine safety disclosures
    – Item 5: Market for common equity and stockholder matters
    – Item 6: Selected financial data
    – Item 7: MD&A of financial condition and results of operations
    – Item 7A: Quantitative/qualitative disclosures – market risk
    – Item 8: Financial statements and supplementary data
    – Item 9: Changes and disagreements with accountants on financial information and disclosures
    – Items 9A and 9A(T): Controls and procedures; and 9B: Other information
    – Item 10: Directors, executive officers and corporate governance
    – Item 11: Executive compensation
    – Item 12: Security ownership of certain beneficial owners and management
    – Item 13: Certain relationships and related transactions and director independence
    – Items 14: Principal accounting fees/services; and 15: Exhibits
  • CEO and CFO certifications and complying with Sarbanes-Oxley

Bring your own 10-Ks for discussion.


No advance preparation required.

Level of Knowledge: 


CPE Credit: 
NASBA Field of Study: