Collecting & Filing CEO/CFO Certifications for Form 10-Ks & 10-Qs

Collecting the CEO/CFO certifications – and filing them with the SEC is important – and so is collecting all the sub-certifications that go behind them.

Broc Romanek covers all the basics, the legal mumbo jumbo – and then at the 10:55 mark, our guests – Primerica’s Stacey Geer and Gunster’s Bob Lamm – get into the nitty gritty of the sub-certification process & the practical in-house stuff, including:

1. Can you explain the whole “filed” vs. “furnished” of 906 reports?
2. How do companies use disclosure as a way to explain their circumstances? For example, a material weakness in internal controls as elicited by Items 307 and 308 of Regulation S-K
3. Can you walk us through the timeline – and process – of collecting subcertifications?
4. When do you have the CEO and CFO sign the certifications? How many days in advance of the filing with the SEC?
5. How do you store the manual signature pages for both the CEO/CFO certifications and all the sub-certifications?

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