SEC Reporting Process Checklist
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Manage your SEC reporting process with a checklist that can be used by accounting, financial reporting, legal, investor relations, and more.
By integrating an SEC reporting checklist into the Workiva platform, you can drive efficiency during each reporting cycle. Document and track the many steps so you don’t miss a beat, and enable deeper collaboration and accountability with a robust checklist that’s connected directly to your teams and your work.
- Example content: What an SEC reporting checklist looks like, including Status & Metric Legend, Preparer Status matrix, and more.
- Workflow example: How basic workflow can be integrated into the platform
Frequently Asked Questions
What is the best way to integrate the SEC reporting checklist into my filing?
You can gain the most efficiencies by using a single workbook for all of your quarterly data and tables. Rather than have data tables (such as dates) supporting both the filing document and the SEC checklist, you should leverage the same source data to get the most out of the checklist.
How do I tailor this template to match my own processes?
Once the checklist template is downloaded into your SEC workspace, begin adding the steps needed to match your own process, including the people responsible for those steps. The more complete your checklist is, the more useful it will be to help manage the SEC reporting process.
Does Workiva have workflow that can be used to automate processes?
There is basic functionality to direct comments or tasks within the Workiva platform that is available to all users. The Workiva platform can also facilitate more sophisticated workflows for complex tasks including system integrations and connected processes. Please contact your Customer Success Manager for more information.
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