SEC Reporting and Compliance

SEC Reporting and Compliance

The Securities and Exchange Commission is where public companies need to file their financial or auditory disclosures. The SEC requires transparency, accuracy, and timely information from companies in order to protect investors. Annual and quarterly reports need to be filed with the SEC on an ongoing basis if you want your company to be able to provide to consumers. Acquisitions or deposits of assets are just some of the reports that need to be filed with the SEC.

Periodic Filing Forms

Public companies will be using 3 forms for the majority of their SEC filings. The first form is the 10-K, which is used for the annual report. An annual report will share the company’s yearly financial information and sales of securities. 

Another form, the 10-Q is used for a quarterly disclosure of finances. Quarterly will provide a bigger picture of the business’s compensation and risk factors when all compiled together. 

The final form that is used for public companies is the 8-K form, which is only used in special circumstances for significant events. Some trigger events t

 

hat will require an 8-K form filing include:

• Entry into a definitive agreement
• Termination of an agreement
• Completion of acquisition
• Notice of delisting or failure to satisfy a continued listing
• Unregistered sales
• Modifications to rights of security holders
• Changes to the company accountant
• Changes in control of the company
• Election of new directors
• Amendments to bylaws

Other SEC Reporting Requirements

There are many reports that are required of a public business in a timely manner. Most reports need to be filled with the SEC within 4 days after the occurrence of the event. Events like changing your company accountant, unregistered sales, or disposition of assets will require a filing. Here are some of the most important filing requirements with the SEC.

SOX Compliance

Under the Sarbanes-Oxley Act of 2002, public companies must follow strict guidelines for internal controls. Certification from the CEO and CFO is required on the financial statements to prevent financial fraud. Those who sign off on fraudulent SEC reporting could face extensive legal consequences. Internal controls over financial reporting (ICFR) are one of the most important aspects that the SEC governs. 

Insider Trading And Ownership SEC Reporting

Executives and shareholders are considered insiders of a company. These people must report their stock holding and transactions within the company using Forms 3, 4, and 5 to maintain transparency. A company that wants to avoid insider trading claims needs to file with the SEC frequently. 

Proxy Statements

During shareholder meetings, companies need to keep detailed information on what issues are up for voting. Board appointments, executive pay, and stock plans help a company make informed decisions. These statements are also known as Schedule 14A. 

EDGAR Compliance

The Electronic Data Gathering, Analysis, and Retrieval system (EDGAR) is there to help streamline the company’s filing process. The SEC may require some companies to file electronically for several reasons. Using this electronic system will make the records public, making timely disclosures possible. Non-compliance with any of these regulations could result in damage to your reputation.

Exchange Act Registration

Often referred to as the Exchange Act, the Securities Exchange Act of 1934 requires companies who want to list their securities publicly to comply with securities law and be transparent about finances to their investors. 

Under the Exchange Act companies need to file annual reports, quarterly reports, and reports for significant events. In summary, companies need to disclose information that could help minimize risk for investors and follow rules that prevent fraudulent activities. 

How Lawyers Help With SEC Reporting and Compliance

Hiring a lawyer can help you meet SEC requirements and file the correct forms. Legal help will ensure the Securities Act registration forms are clear and precise. They can also help explain the legal jargon of the different acts so that you understand what you are getting into with public offerings. 

Additional things that a lawyer can assist you with include:

• Assisting with disclosure judgments
• Considering the board of directors
• Working with the staff of the national securities exchanges
• Prepare Regulation Fair Disclosure Policies
• Consistent help with reports and other SEC filings
• Present information that minimizes liability risks
• Establish internal compliance programs
• Conduct internal investigations
• Advise on potential liabilities 

WW Partners can help you with all aspects of public business offerings. Our legal team wants to help improve your capital and stock offered to investors with proper SEC Reporting and compliance. 

Ensure Your SEC Reporting Compliance with Confidence

Navigating the complexities of SEC reporting and compliance is essential for maintaining your company’s credibility, transparency, and legal standing. Publicly traded companies must adhere to stringent regulations to protect investors and maintain financial integrity. Failing to comply can lead to significant penalties, reputational damage, and legal consequences. That’s where we come in.

At WW Partners in Sandy, we specialize in SEC compliance, ensuring that your financial disclosures are accurate, timely, and fully compliant with regulatory requirements. From 10-K annual reports to 10-Q quarterly filings and 8-K special event disclosures, our team is equipped to handle all aspects of your SEC reporting with precision and efficiency.

The Cost of Non-Compliance

SEC violations can be costly, not just in financial penalties but also in investor confidence and stock value. Companies that fail to meet filing deadlines or provide inaccurate information can face enforcement actions, making it crucial to have a trusted compliance partner. With our expertise, you can focus on growing your business while we handle the regulatory details.

Our Approach: Accuracy, Efficiency, and Reliability

We go beyond basic filings—we proactively monitor SEC updates, ensuring that your business remains compliant even as regulations evolve. Our team works closely with your accounting and legal departments to ensure every report is:

• Accurate: We thoroughly review financial data to eliminate errors.
• Timely: We ensure all reports meet SEC deadlines, avoiding penalties.
• Strategic: We help craft clear, investor-friendly disclosures.

Who We Help

We assist publicly traded companies across all industries, providing SEC compliance solutions that align with their unique financial and operational needs. Whether you’re a small-cap, mid-cap, or large-cap company, we tailor our services to fit your reporting obligations.

Take Control of Your Compliance—Act Now!

SEC compliance isn’t just about meeting legal requirements—it’s about building investor trust, securing your financial future, and positioning your company for long-term success. Don’t risk fines, shareholder lawsuits, or loss of investor confidence due to reporting errors or missed deadlines.

Take action today! Contact us now to schedule a consultation and let us handle your SEC reporting and compliance with precision and professionalism. Your company’s future depends on it.

The time to act is now. Contact WW Partners today to schedule a consultation and ensure your SEC compliance is handled with precision and expertise. Whether you’re filing annual reports, managing acquisitions, or preparing for regulatory changes, we’re here to help you every step of the way. Call us now or fill out our online form to get started!