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SEC Financial Reporting

SEC-compliant financial statements and other filings are complex and time-consuming. Riveron possesses the knowledge and skills to help our clients successfully navigate a challenging regulatory environment.

Riveron’s SEC financial reporting services are driven by our extensive experience and comprehensive knowledge of SEC reporting requirements. Beyond financial statements, MD&A and pro formas, we advise on research, technical matters and SEC comment letter responses with professionalism, structure and attention to every detail.

We work with companies to navigate many areas of the regulatory environment, including:

  • Periodic filings (10-Ks, 10-Qs, 8-Ks)
  • Disclosure requirements
  • Pre-clearance letters
  • Comment letters
  • Registration statements (e.g., S-3, S-4)
  • Significance tests
  • Proxy statements
  • Research and documentation

Riveron is not a CPA firm.

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Related Insights

SEC Comment Letters: Do’s and Don’ts

Understanding the SEC Comment Letters process is crucial for preparing comprehensive responses that quickly resolve and clarify any outstanding issues.

How MD&A Can Yield Better Investing Decisions

By focusing on delivering against the stated objectives of MD&A—specifically  including clear, updated, consistent, and detailed information—companies will enable users of financial statements to make more informed investing decisions. Efforts to simplify reporting will help registrants to improve disclosures while reducing the cost of compliance.

Non-GAAP Financial Measures: Clarification on What Constitutes Individually Tailored Accounting Principles

Comments from the SEC on non-GAAP financial measures continue to lead the way in 2018. At the recent 2018 AICPA Conference on Current SEC and PCAOB Developments the SEC staff (the “staff”) emphasized that investors and creditors expect publicly reported information to be accurate, complete and in compliance with all applicable rules and regulations. Specifically, the staff highlighted two areas of focus: adherence to Compliance and Disclosure Interpretations (“C&DIs”) as well as the importance of controls and processes when disclosing non-GAAP financial measures.

SEC Comment Letter Process Insights

The SEC is required to review the filings of public companies at least once every three years, with many companies selected for review more frequently. Comments from those reviews are largely based on a registrant’s disclosures and other publicly available information, including press releases, analyst calls and information on the registrant’s website. However, non-public information such as whistleblower tips and PCAOB inspection reports can also be considered.