Withum’s approach to conducting Form 11-K audits with our clients helps ensure that critical SEC deadlines are met in a timely and efficient manner.
Form 11-K Requirements
If a company files a registration statement under the Securities Act of 1933 for its securities, held by its employee stock purchase, savings or similar plan and has reporting obligations under Section 15 (d) of the Exchange Act, an annual report on Form 11-K would be required with the SEC, starting in the year in which the registration statement became effective.
Plans that have an 11-K filing requirement with the SEC are required to have their financial statements audited by a PCAOB registered firm. Our ERISA professionals are well-versed in dealing with the additional audit requirements of the PCAOB for conducting 11-K engagements. Further, our approach for conducting these audits with our clients helps ensure that critical SEC deadlines are met in a timely and efficient manner.