Securities Exchange Act Reporting

This solution guide you in making required reports under the Securities Exchange Act.  Invite colleagues from finance, your external auditors and counsel to this shareable checklist and filing system for quarterly and annual reporting. 

For each quarter, tasks are listed in chronological order,  a template for your own timeline. Upload copies of your filings in the workroom to create a perfect compliance record.  

1 Create the workroom from the template 

Use the template to create a new Workroom. Modify the workroom title to include the fiscal year. 

2 Set up the workroom  

Review the task list and add in dates that correspond to your company's timeline. 

Identify any colleagues who possess necessary information and invite them to the workroom. 



Make them the owner of information they can provide. 

3 Complete each task by its deadline. 

In order to finish your completed filing on time, follow the prescribed deadlines in the workroom. For each task, collect the required information or update it from a previous filing and upload it in the Records tab. 

Check off each task as you complete them. 

4 Repeat each fiscal quarter 

Continue using this workroom each quarter to keep track of previous filing documents. Set deadlines and make updates as necessary each quarter.

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