New Editions! SEC Compliance and Disclosure Series

PLI Press is proud to announce the publication of new editions to all three books in the SEC Compliance and Disclosure SeriesMaster the 8-K, Master the 10-K and 10-Q, and Master the Proxy Statement.

These step-by-step guides deliver clear explanations, comprehensive information, and essential practice tips to implement or refine corporate disclosure controls and procedures to ensure accurate and timely filings. Master the 8-K offers updated direction on filing the SEC’s Current Report on Form 8-K. Master the 10-K and 10-Q gives instructions and analysis to ensure accurate and timely filings. Master the Proxy Statement advises companies on year-end disclosures and preparing proxy materials. The series includes sample language, detailed appendices, key regulations, and related forms and checklists.

Some of the highlights from the recently published editions include:

Master the 8-K:

  • The latest guidance on the instances in which an employment relationship or transaction and any resulting compensation involving an executive officer need not be disclosed (see Appendix 7, Section 5(a)(iii))
  • Added information on purchases of equity securities by the issuer and affiliated purchasers (see Appendix 2, Section 26)
  • A new appendix dedicated to Regulation S-K, Item 106 Cybersecurity (see Appendix 11)

Master the 10-K and 10-Q:

  • Additional explanation of the information to be provided on the cover page of an Annual Report on Form 10-K including a new section on “clawback” disclosures (see Section 1:11)
  • Notification on updates to the disclosures required by Item 408(d) of Regulation S-K (see Section 3:8.4)
  • Communication about items required to be disclosed under Item 703 of Regulation S-K (see Section 8:3.6)  

Master the Proxy Statement:

Order print copies of the new editions of Master the 8-K, Master the 10-K and 10-Q, and Master the Proxy Statement today.  The books of the series can be purchased individually as standalone guides or purchase all three for the full series.

PLI PLUS subscribers can access these titles through their subscription.

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