SEC Reporting Process Checklist

This checklist is commonly used to manage dates and deliverables for a successful 10-Q or 10-K filing with the Securities and Exchange Commission (SEC). Customize the checklist during your filing to facilitate reviews and approvals, and the collection of data and supporting documentation.
Template Contents
Document
Spreadsheet
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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. 

 

Key Features
  • 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
Compatible Solutions
To use this item, your organization needs to have purchased one of the following solutions.
SEC Reporting
Support and Documentation
Last Updated 05/24/2021 (Release Notes)

Frequently Asked Questions

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.

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.

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.

Fit for Purpose Solutions
SEC Reporting
Simplify 10-Qs, 10-Ks, 8-Ks, Section 16, proxy statements, tax disclosures, and 350 other types of SEC forms with a single cloud solution.