consultantFinanceSEC Checklists to Have on Hand

May 25, 2022by sarahkfoster0
WHAT DO YOU NEED TO FILE WITH THE SEC?

 

The SEC will require both an annual report and a 10-K report from a company. Traditionally, an annual report includes a summary overview of the business’ financials, a letter from the chair or CEO, illustrations, glossy pages, and a letter from the organization’s president or CEO.

 

WHAT IS THE SEC LOOKING FOR IN YOUR COMPANY’S FINANCIAL STATEMENTS?

 

Information is collected about the financial and operational health of domestic and foreign companies with publicly traded stock. These forms are checked by the SEC to make sure all information provided is accurate and up to date.

 

WHAT ARE THE DIFFERENT TYPES OF SEC FILINGS? 

 

There are several types of SEC filings, including: Form 10-K, Form 10-Q, Form 8-K, the proxy statement, Forms 3, 4, and 5, Schedule 13, Form 114, and Foreign Investment Disclosures. The registration statement contains information about both the securities being offered and the financial condition of the company.

 

WHAT ARE THE FOLLOWING ITEMS TO GATHER?

 

  • Application of Regulation 
  • General Instructions as to Financial Statements
  • Consolidated and Combined Financial Statements
  • Rules of General Application
  • Commercial and Industrial Companies
  • Financial Statements of Smaller Reporting Companies
  • Interim Financial Statements
  • Pro Forma Financial Information
  • Financial Related Disclosures Only item
  • Description of Business
  • Market Price of and Dividends on the Registrant’s Common Equity and Related Stockholder Matters —Securities authorized for issuance under equity compensation plans 
  • Supplementary Financial Information
  • Selected Quarterly Financial Data
  • Oil and Gas Producing Activities
  • Management’s Discussion and Analysis
  • Changes in and Disagreements with Accountants
  • Quantitative and Qualitative Disclosure About Market Risk
  • Controls and Procedures
  • Internal Control over Financial Reporting
  • Executive Compensation
  • Risk Factors
  • Exhibits
  • Purchases of Equity Securities by the Issuer and Affiliated Purchasers
  • Industry Guides
  • Roll-Up Transactions
  • Mergers and Acquisitions (Regulation M-A)
  • Asset Backed Securities (Regulation AB)
  • Oil and Gas Producing Activities

 

 

FINAL THOUGHTS

 

MCDA CCG SEC reporting managers have the experience and expertise in financial reporting for public issuers. Our reporting managers are efficient, and skilled at producing accurate financial statements in a timely manner that will satisfy your SEC requirements.

 

Should you have any questions about creating a checklist for SEC or additional reporting issues, please reach out to us for a complimentary consultation!

 

CALL TODAY (657) 258 – 0577 OR email us at sales@mcdaccginc.com! 

 

 

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