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SEC Reporting

SEC Reporting

SEC Reporting for Utah Businesses

One important service that we offer to small and medium-sized business is SEC reporting and filing. The Securities and Exchange Commission (SEC) is legally entitled to obtain reports and specific forms from companies that enable investors to get a clear understanding of a company’s financial history, growth, and future expectations. At Klingler & Associates, our licensed staff of experienced tax professionals can ensure that Utah businesses are completely compliant with SEC regulations, and reduce the headaches of filing to the SEC, yourself.

Our Support Services

Filing the necessary documents to the SEC can quickly become a complex process. For this reason, we offer a wide variety of different services that comprehensively takes our clients through the entire process. Here are the specific SEC support services we offer:

  • SEC form filing
  • Responding to SEC comment letters
  • Preparing pro-forma financial statements
  • Compliance analysis of SEC regulations


SEC Form Submittal

There is a wide variety of different forms that the SEC may or may not require a business to file, depending on its structure, history, and size, among other factors. At Klingler, we can help with the submission of all of these forms. Here are the key forms that we help file:

  • Registration Statements: A registration statement helps investors see the details of the securities that are offered, and how profitable a company currently is (this section is called the “prospectus”). Some companies may also be required to include information about the sales of unregistered securities.
  • 10-K Report: A 10-K report gives investors a completely detailed analysis of the finances of a company. This includes comprehensive financial statements. All companies are required to submit a 10-K report in a period of 90 days before their fiscal year ends.
  • 10-Q Report: This report is similar to the 10-K report, but is less detailed. It is required to be filed in a 45 day period before the end of the first 3 quarters of a company’s fiscal year. This report should include some of the latest developments in the business, as well as an indication of its future plans.
  • 8-K Report: This report is unscheduled on a company’s fiscal year. It is meant to be used to detail sudden changes or developments within the company, such as bankruptcy, partnerships, impairments, or other things, to investors if these changes occur in between the 10-K and 10-Q reports.
  • Proxy Statement: A proxy statement lets investors review the salaries of managers, including perks, as well as conflicts of interest of those managers. A proxy statement is legally required to be filed with the SEC before shareholders vote to elect directors, or other actionable items.
  • Schedule 13D: This form details the owners of the company, including the owner with the largest number of shares. This report must include the contact information of any existing owners for investors. A Schedule 13D form needs to be filed in a 10 day period after any business, individual, or other entity acquires 5% or more of the company’s securities.

There are many more types of filings and forms that the SEC requires, but these are some of the most common that we see. We offer many more services to help you stay in compliance with state and federal regulations. Contact us to learn more.

Call for Professional SEC Reporting Services

If you have any questions about our SEC reporting support services, then please give a call to our exceptional staff, today! Our team, collectively, has more than 100 years of experience in helping businesses in Utah remain compliant with the SEC and adequately report information to investors.

(801) 938-8062