Workflow Templates: SEC Filing Compliance Checklist

Ensure all previous SEC filings are up to date and any amendments have been filed.

Verify the reporting calendar and filing deadlines for the current year.

Review the SEC's latest compliance and disclosure interpretations and adjust practices accordingly.

Gather financial statements and related information for the reporting period.

Prepare Management's Discussion and Analysis (MD&A) according to the relevant regulations.

Compile all required exhibits, including legal documents, charts, and any contracts that must be disclosed.

Conduct an internal review of the draft SEC filings by the finance and legal team.

Obtain approval of the SEC filings from the company's executives and board of directors.

Ensure that the company's audit committee reviews and approves the financial statements.

Convert documents into the SEC's Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system format.

Test file the documents to EDGAR to ensure they are error-free.

Make the required filings on EDGAR by the deadlines, including Form 10-K, 10-Q, 8-K, and others as applicable.

Evaluate and document the effectiveness of disclosure controls and procedures prior to filing.

Discuss any deficiencies in internal controls over financial reporting with the audit committee.

Disclose any changes in internal control over financial reporting in the filings.

Monitor the SEC's acceptance of the filings and be prepared to make any necessary corrections.

Distribute the filings to investors, analysts, and other stakeholders as required.

Update the company's website with the latest SEC filings to maintain transparency and comply with regulations.

SEC Filing Compliance Checklist