Compliance with SEC reporting requirements is critical in the practice of corporate law. However, most corporate associates learn these requirements on the job, and training in SEC reporting tends to be piecemeal at best.
To fill in these training gaps, PLI offers a number of programs to help lawyers deepen their understanding of securities reporting requirements.
The two-day program SEC Reporting and Practice Skills Workshop for Lawyers 2022 offers the foundation and practical know-how you need to understand, prepare, and review periodic and current reports and proxy statements in order to comply with the SEC’s detailed disclosure requirements, including:
- Key disclosures in and issues regarding Forms 10-K, 10-Q, and 8-K and the proxy statement
- How to communicate with the public within the constraints of the SEC’s rules and guidance
- How to implement stock buyback programs
- The various theories of insider trading and how to protect the company and executives from charges
- The process of registering securities for offer and sale under the Securities Act of 1933 and certain of the exemptions from registration
- The requirements for resales of securities under Rule 144
- How to ensure compliance with Section 16 reporting and disclosure requirements
- How to write an effective MD&A
- Latest developments in SEC reporting, including climate change, Nasdaq’s diversity requirements, and ESG disclosure
- How to deal with the SEC staff and understand their “hot buttons”
You can register for the workshop here.
In addition, PLI’s half-day program, SEC 101 Reporting Essentials for Lawyers Workshop 2022, is a shorter, virtual workshop designed to give legal professionals the core practical knowledge base, skills, and tools required to succeed in an SEC reporting role and apply these tools in practice.
In this highly interactive workshop, participants will learn about, and discuss, topics including the legal foundations of SEC reporting in the Securities Act of 1933 (“Securities Act”) and the Securities Exchange Act of 1934 (the “Exchange Act”), when there is a “duty to disclose,” and the SEC’s Integrated Disclosure System. The workshop will also cover:
- The major provisions of the Securities Act and Exchange Act
- How to navigate the Integrated Disclosure System, including Regulation S-K’s disclosure requirements
- How public companies communicate within the constraints of the SEC’s rules and guidance
- Other sources of SEC guidance
- The SEC’s organization and function
Register here.
PLI’s SEC reporting programs are ideal for both practitioners new to this area of law and more seasoned lawyers who are looking for a refresher on their skills. Register today to make sure you’re on top of the SEC’s most recent reporting requirements.