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SEC compliance checklist for annual report on SEC Form 10-K

Published on: Dec 20, 2016

The SEC Form 10-K is used for annual reports under Section 13 or 15(d) of the Securities Exchange Act of 1934. This checklist summarizes the disclosure requirements of Form 10-K.

Note: This checklist is not designed for use by “smaller reporting companies.”  However, this checklist is applicable for an “emerging growth company” (EGC) that is not a smaller reporting company.  See SEC Compliance Checklist — General, for considerations related to EGCs.

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Correction list for hyphenation

These words serve as exceptions. Once entered, they are only hyphenated at the specified hyphenation points. Each word should be on a separate line.