USA SEC filings

Feb 18, 2020
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United States
Question, who prepares the annual or quarterly sec filings needed to be filed by corporations that sell shares of their corporation to the public on a public stock exchange? An accountant? Legal advisor? I know accountants can help with drafting financial statements like a corporations balance sheet, income statement, and cash flow statement -- but who drafts and prepares corporations sec filings like their 10k or 10q?

What about their other sec filings like the 8k, s-1 or others?

I think a corporation has an underwriter like an investment bank prepare their s-1 which is like a registration form they need prepared and filed to trade stock publicly on a public stock exchange, but what about the other forms?


Werner Reisacher

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Jun 30, 2017
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The process involved in handling the SEC filings is extremely complex and the consequences of making the slightest error or missing a deadline could have far-reaching consequences. Not only for the individuals involved but for the corporation being delisted by the Stock Exchange. (3 missed filing deadlines)
In addition to the Financial Filings (10k-10Q), you have other reports that must be filed to meet the requirement to keep investors up to date on issues that might have an impact on their decisions in judging the safety of their investments.
Filling out the actual forms is just a formality. Providing the information, the depth of the disclosure, the potential of misleading the investors, or the lack of not disclosing potential liabilities of which management is aware of are all topics that are discussed between company officers and during board meetings, attended by the auditors before such statements can be legally released.
To make it short, filing of SEC documents is the final step in managing a public company in line with Corporate Laws applicable in the State the company is doing business, and in line with all SEC rules and regulations, including issues such as "insider trading rules" are a teamwork effort between all, Corporate Management, Outside Financial Auditors, Board of Directors and Shareholders.

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