Quick intro — Who you are and why we're talking

• Please tell us your role and the team members who will own disclosure interactions with our firm (names and titles welcomed)
• Which of these situations triggered today’s conversation? Options: First 10‑K after IPO, Substantive SEC comment letter, New Section 16 obligation, Ongoing quarterly/annual coverage, Other
• How soon do you need an operational relationship in place? Options: Immediately (days), Within 2–4 weeks, Within 1–3 months, Q next quarter or later, Unsure
• What are the top two outcomes you’d expect from an external securities filing partner in the next 12 months? Options: On‑time EDGAR filings, Fewer SEC comments, No restatements, Reliable Section 16 timeliness, XBRL accuracy, Faster turnaround on comment responses, Other
• When working with outside counsel historically, what’s one thing that consistently went well?

Are your internal decision lines actually clear — or do they blur when deadlines loom?

• Who owns the final sign‑off for SEC filings today? Options: General counsel, Deputy/associate GC (securities), Corporate secretary, CFO, CEO/President, Board/committee
• Which individuals or groups must sign, approve, or be notified before a filing goes live? (select all that apply) Options: Board or special committee, Audit committee, External auditor, Transfer agent, Investor relations, HR/comp team, Other
• How predictable are internal approval timelines when you’re approaching a statutory deadline? Options: Very predictable, Mostly predictable with occasional delays, Often rushed at the end, Unpredictable and a risk to deadlines
• How do approval bottlenecks usually show up — long review loops, lack of reviewer availability, late accounting deliverables, or something else? Options: Long review loops, Reviewer availability, Late accounting support, Conflicting stakeholder feedback, ESG/disclosure ownership confusion, Other
• If we could remove one approval choke point for you, which would it be and why?

What actually happens when the filing clock starts — and where does it fall apart?

• Describe your current disclosure workflow from draft to EDGAR submission (who drafts, who reviews, who files).
• Which EDGAR/XBRL tools and vendors do you use today? Options: In‑house EDGAR submitter, Vendor EDGAR service, XBRL vendor (tagging), Financial printer, No formal tools yet, Other
• How would you rate the reliability of your EDGAR/XBRL process on a scale from 1 (risky) to 5 (rock solid)? Options: 1, 2, 3, 4, 5
• Tell us about past filing failure modes you've seen (e.g., missed Filer credentials, XBRL errors, wrong exhibit links, late signatures). Which have occurred and how often?
• Who holds the EDGAR credentials and who is backup? (names/titles)

When the SEC pushes back, does the situation escalate beyond a comment letter?

• Have you received substantive SEC comments or deficiency letters in the past 3 years? If so, what triggered them? Options: MD&A gaps, Accounting inconsistencies, XBRL tagging issues, Exhibit/authorization problems, Insufficient proxy disclosure, Other
• How did those comment cycles resolve — quick fix, multiple amendments, auditor involvement, or something else? Options: Single response resolved, Multiple submissions required, Led to auditor/third‑party involvement, Escalated to inquiry, Ongoing/unresolved
• What has been the operational or emotional impact of a late Section 16 or an SEC comment on leadership and the board?
• How long have these recurring issues been happening? Options: First occurrence, Under 1 year, 1–3 years, Over 3 years
• When things go wrong, what help do you wish you had received from outside counsel that you didn’t get?

If you could wake up tomorrow with zero filings mistakes, what would that allow you to stop worrying about?

• Select the measurable success signals that would convince you our engagement is working (pick top 3). Options: Zero missed deadlines, Fewer SEC comments per filing, No restatements, Faster turnaround times, Cleaner XBRL with no SEC retries, Clear reviewer sign‑off history
• Beyond metrics, how would you describe the cultural or emotional shift you’d like to feel when filings come due (e.g., confidence, calm, predictability)? Options: Confidence and calm, Predictability and control, Fewer late‑night scrambles, Greater trust from board/audit
• What would ruin the idea of a successful engagement for you — the one outcome you want to avoid at all costs? Options: A restatement, A late Form 4/Section 16, Repeated SEC comment cycles, Material misstatements, Security or confidentiality breach, Other
• How will your team measure and sign off that the stated outcomes were achieved?

Imagine your worst‑case SEC scenario — how would you want us to handle it differently?

• Which of the following high‑stress scenarios matters most for you to test during evaluation? Options: First post‑IPO 10‑K, Substantive SEC comment response, Section 16 late filing, Complex XBRL conversion, Proxy statement with contested disclosures
• Pick one scenario above and walk us through the last time you faced it — what unfolded, who owned which steps, and what was missing?
• When we run a scenario walkthrough, what would you want to see demonstrated to feel confident (fast turnaround, redline quality, auditor coordination, EDGAR proof)? Options: Fast turnaround, Substantive redline markup, Auditor coordination, EDGAR filing proof, Compliance checklist, Other
• How important is seeing a sample file review (with SEC comment annotations) versus a live trial on your filings? Options: Sample review is enough, Prefer a short live trial, Both are essential, Unsure

Who actually does what — and how much of that do you expect us to own?

• Which deliverables must our team provide as part of a standard engagement? Options: Draft filings (10‑K/10‑Q/8‑K), SEC comment responses, XBRL tagging, EDGAR submission, Section 16 filings, Proxy drafting, Other
• Which responsibilities will remain internal (select all that apply)? Options: Financial statements and notes, Management interviews for MD&A, Final sign‑off, Board approvals, Payroll/comp data for Section 16, Other
• What SLAs or turnaround times do you require for drafting, review cycles, and final EDGAR submission? Options: Same day (emergencies), 24–48 hours, 3–5 business days, Weekly cadence, Custom per filing type
• What acceptance criteria should our deliverables meet before you’ll allow submission (e.g., XBRL validation zero errors, CFO sign‑off, auditor concurrence)?
• How do you prefer to manage escalation and urgent issues (phone, pager, Slack, dedicated hotline)? Options: Phone, Email, Slack/Teams channel, Dedicated hotline, Other

When we say 'ready to deploy,' what does that look like for your team?

• Do you currently have EDGAR credentials and vendor contracts in place that permit outside counsel to file on your behalf? Options: Yes, counsel can file, Yes, but counsel cannot file, No EDGAR credentials, Unsure
• Which contacts must be shared to complete pre‑deployment (auditor liaison, transfer agent, financial printer, investor relations)?
• What security or access controls are non‑negotiable for you (2FA, SSO, role‑based access, SOC2 vendor only)? Options: 2FA, SSO, Role‑based access, SOC2/ISO certification requirement, Encrypted file transfer, Other
• If onboarding takes 4–6 weeks, what are the critical milestones we must hit to meet your reporting calendar?
• What would make you hesitate to move forward after an onboarding sprint (price, legal terms, sample review results, internal capacity)? Options: Price, Legal/commercial terms, Unsatisfactory sample review, Internal capacity, Security concerns, Other
• Finally, what's one question you wish every filing partner asked but no one ever does?

Getting Oriented: Tell Us How You Currently Run Your Filing Cycle

• In a few sentences, walk us through your current end-to-end disclosure workflow for an annual 10-K (who starts the draft, who reviews, and who files)
• Which filing types do you prepare internally vs. outsource (pick all that apply)? Options: 10-K, 10-Q, 8-K, Proxy/DEF 14A, Form 8-K Section 16, Schedule 13D/G, Form ADV
• How do you currently track the reporting calendar and deadlines? Options: Dedicated calendar tool (e.g., reporting calendar), Shared corporate calendar (Outlook/Google), Spreadsheet, Law firm/vendor manages calendar, No formal calendar
• Who is the single person responsible for the disclosure calendar and day-of-filings coordination?
• Roughly how many SEC submissions (EDGAR filings) does your team or vendors file per year? Options: 0–10, 11–50, 51–150, 151–500, 500+
• When the calendar shifts—earnings delays, restatements, late audit signoffs—what typically changes first in your workflow?
• How would you describe the team’s current bandwidth during peak filing windows? Options: Comfortable, Tight but manageable, Stretched thin, Unmanageable

Why Are You Still Tolerating Close Calls?

• Tell us about a recent filing that gave you a real moment of panic—what happened and why did it escalate?
• How often do you receive SEC comments that require substantive disclosure changes rather than clerical edits? Options: Almost every filing, Often, Occasionally, Rarely, Never
• When you get an SEC comment, what part of your team or vendor network is usually blamed or held accountable? Options: Internal legal, Finance/accounting, External audit, Financial printer, XBRL vendor, Other
• How long does it typically take from receiving a substantive SEC comment to filing an amended or responsive filing? Options: <48 hours, 48–72 hours, 3–7 days, More than 1 week
• Have you ever had a filing withdrawn, materially amended, or restated because of a disclosure error? If yes, describe what led to it. Options: Yes, No
• What emotions do those late-night, pre-filing crunches usually produce—frustration, embarrassment, fear of liability, something else? Options: Frustration, Anxiety/fear, Embarrassment, Resignation, Motivated to improve, Other

Who's Really Holding the Pen (and the Keys)?

• Who currently has EDGAR credentials and primary file/submit authority for SEC filings? Options: In-house corporate secretary, In-house counsel (GC/deputy), External law firm, Transfer agent, Financial printer, Other
• Do you use shared EDGAR credentials, role-based accounts, or single-person logins? Share the approach and any pain points. Options: Single-person logins, Shared credentials, Role-based accounts, We don’t know/unsure
• List the external vendors and partners involved in your disclosure process (financial printer, XBRL vendor, transfer agent, auditor) and their primary contact methods.
• Who makes final editorial judgment calls on MD&A, risk factor language, and materiality—internal counsel, finance, or outside counsel? Options: Internal counsel, Finance/CFO, Outside counsel, Collective decision (describe)
• How do you coordinate signoffs when multiple stakeholders (board, audit committee, auditors) must approve a filing? Describe timing and typical delays.
• Is there a documented RACI or responsibilities matrix for filings? If yes, how often is it updated? Options: Yes—updated regularly, Yes—but rarely updated, No

Where the Machine Breaks Down (Past Failures and Near-Misses)

• What recurring mistakes or failure modes have you noticed across filing cycles (e.g., incorrect XBRL tags, stale EDGAR headers, missed exhibits)?
• How long has each recurring issue persisted before someone fixed it permanently (if it was fixed)? Options: Less than 3 months, 3–12 months, 1–2 years, More than 2 years, Not fixed
• When things go wrong, do you conduct post-mortems or capture lessons learned? If so, who leads that process? Options: Yes—internal team leads, Yes—outside counsel leads, Ad hoc, no formal leader, No
• Have vendor mistakes ever been accepted as 'their fault' without changing your controls? If yes, what stopped you from changing the process? Options: Yes, No
• Tell us about the most expensive or politically damaging disclosure failure you've experienced (time, cost, reputational impact).
• How much time and internal legal-hours does your team spend on correcting or responding to filing errors annually (estimate)? Options: <20 hours, 20–100 hours, 100–500 hours, 500+ hours

How Confident Are You in Your EDGAR, XBRL, and Filing Tools?

• If I told you we could guarantee zero missed EDGAR deadlines from our submissions, how believable does that sound on a scale from 1–5, and why? Options: 1 - Not believable, 2, 3, 4, 5 - Very believable
• Who prepares your XBRL (in-house, external tagger, financial printer, or law firm)? Options: In-house, External XBRL vendor, Financial printer, Outside counsel handles, We don’t do XBRL
• Do you run automated XBRL checks pre-submission and who fixes the flagged issues? Options: Yes—internal fixes, Yes—vendor fixes, No automated checks, We rely on SEC feedback
• Describe your EDGAR submission fail-over plan (if submitter is unavailable or credentials fail).
• Are there any technical or security constraints (SFTP access, VPN, MFA) that regularly slow down filing uploads? Options: MFA/token delays, SFTP/transfer agent issues, VPN connectivity, Firewall/IT restrictions, No constraints
• When was the last time you rotated or reviewed who has EDGAR access and why? Options: Within 3 months, 3–12 months, Over a year, Never reviewed/unsure

What Would Filing Day Feel Like If It Worked Seamlessly?

• Imagine the next 10-K filing goes perfectly—what concrete signals would tell you the process was successful? Options: No SEC comments, Filed on time without fire-drills, Zero XBRL issues, Positive auditor feedback, Board comfortable with process, Other
• Which measurable outcomes matter most to you (rank or pick top three)? Options: Fewer SEC comments, On-time filings, No restatements, Faster turnaround on comment responses, Lower internal legal-hours, Better audit coordination
• How would reducing SEC comments or filing rework change your team's ability to focus on strategic legal work? Options: Very positively, Somewhat positively, Neutral, Little change
• What level of transparency and realtime updates from an outside firm would make you sleep easier during filing week? Options: Live dashboard and alerts, Daily check-ins, As-needed communications, Post-filing summary only
• If you could wave a wand and fix one persistent disclosure risk overnight, what would it be and why?
• How would you quantify acceptable risk—what is your tolerance for a single SEC comment or a filing amendment in a 12-month period? Options: Zero tolerance, Occasional comments ok, A few amendments acceptable, We don't have a standard

What Small Changes Would Unlock Big Improvements?

• What one process or control do you suspect would most reduce the chance of a restatement or substantive SEC comment? Options: Early MD&A legal review, XBRL pre-checks, Formal sample-file review by outside counsel, Hard deadlines for internal signoffs, Other
• How open is your CFO/audit team to changing the disclosure timeline to allow an extra review day if it reduces risk? Options: Very open, Somewhat open, Reluctant, Not open/unknown
• Would you be willing to run a silent rehearsal (duplicate filing process without actually filing) to validate roles and timing before your next live filing? Options: Yes—within next filing, Maybe—need approval, No
• What SLAs or turnaround expectations do you need from an outside counsel/vendor during earnings season? Options: <24 hours, 24–48 hours, 48–72 hours, Custom by request
• Which types of sample-file reviews would be most persuasive when evaluating outside counsel (annotated SEC comment markups, XBRL error logs, EDGAR submission log)? Options: Annotated comment markups, XBRL validation reports, EDGAR submission evidence, Redline/markup of actual 10-K, Other
• What would you need to see in a vendor onboarding checklist to feel confident handing over filing responsibilities?

Practical Next Steps: Readiness, Risks, and Quick Wins

• Do you currently have sample filings, audit signoff timelines, and a point-of-contact list ready to share for a new vendor to review? Options: Yes—everything ready, Some documents ready, No—requires time to assemble
• Which of the following would you prioritize for immediate remediation (pick up to three)? Options: EDGAR access reviews, XBRL toolchain validation, Clear RACI for filings, Rehearsal of filing day, Vendor SLA contracts, Regular post-mortems
• If we asked for a 30–60 minute walkthrough of your last filing with your finance and legal leads, who would you invite and when would be realistic?
• What internal approvals or blockers could delay a transition to an outside counsel handling filings, and how long would those approvals typically take? Options: Board approval, Procurement/legal RFP, CFO approval, IT/security review, None/fast
• Finally, how would you prefer we demonstrate our value quickly—through a sample-file review, a mock-filing rehearsal, or a short audit of your current EDGAR/XBRL process? Options: Sample-file review, Mock-filing rehearsal, EDGAR/XBRL audit, Combination

A Quick Tour of Your Filing Rhythm

• How would you describe your company's current SEC filing cadence and the filings you expect in the next 12 months? Options: 10-K (annual), 10-Q (quarterly), 8-K (as-needed), Proxy statement, Form 4 / Section 16, Registration statement / S-1 / S-3, Form ADV (investment adviser)
• Who will be our day-to-day partner for delivery—title and primary contact method? Options: Deputy GC, Associate GC (securities), Corporate Secretary, Head of Finance/Controller, Compliance Officer, Other
• How familiar is your identified contact with SEC filing logistics (EDGAR login, XBRL basics, printing & transfer-agent workflows)? Options: Very experienced, Some experience, Limited experience, Brand new to SEC filing
• Tell us one recent filing-related moment that felt especially stressful or chaotic for your team (brief description).
• Which of the following best describes your priority for our pre-deployment phase? Options: Zero missed deadlines, Clean first live XBRL submission, Flawless EDGAR handoff, Clear escalation path for auditor/transfer-agent issues, All of the above

Who Holds the Keys to EDGAR—and Is That a Risk?

• If EDGAR access were unavailable tomorrow, how close would that be to derailing your next required filing? Options: Would derail immediately, Would cause a delay we could manage short-term, Minor inconvenience, No impact
• Who currently holds EDGAR credentials (name/role) and how are credentials managed (shared password, individual accounts, third-party filer)? Options: Single corporate account (shared), Individual corporate accounts, Third-party filing agent controls access, We don’t know / need to confirm
• Do you have a documented process for transferring EDGAR access (e.g., when a filer leaves or roles change)? If yes, summarize the steps. Options: Yes — documented and tested, Yes — documented but untested, No documentation
• Are there multiple CIKs or registrant entities we need EDGAR access for? If so, list them.
• What internal approval or governance is required for us to be added as an EDGAR filing agent (board/GC/treasury sign-off)? Options: General Counsel approval, Corporate Secretary approval, Board resolution, Finance sign-off, No formal approval required / unsure

XBRL: Source of Competitive Advantage or Recurring Headache?

• How would you rate confidence in your historical XBRL submissions (accuracy, SEC comment frequency, restful taxonomy usage)? Options: High confidence, Moderate confidence, Low confidence, We have no history / first-time filer
• Who creates or reviews your XBRL (in-house team, external vendor, auditor-reviewed), and who signs off on final tag reconciliation? Options: In-house accounting/XBRL specialist, Outside XBRL vendor, Auditor prepares/reviews, Our counsel prepares, Combination — please specify
• What XBRL toolset or workflow do you use (e.g., vendor platform, EDGAR-ready software, Excel-based pipeline)? Options: Vendor-hosted XBRL platform, Commercial desktop XBRL tool, Spreadsheet + manual tagging, No formal tool / ad hoc, We don’t know
• Have you had taxonomies, extension issues, or rejections that required re-filing? Please describe one example and its operational impact.
• Which XBRL deliverable would you most want us to own or improve: initial tagging, QA checks, SEC-schema reconciliation, or reviewer training? Options: Initial tagging, QA checks and validation, Taxonomy/extension management, Reconciliation and sign-off, Reviewer training / playbook

If the Auditor or Transfer Agent Calls, What Happens Next?

• Who are your primary external partners for filings (auditor engagement partner, transfer agent contact, financial printer), and do we have explicit permission to contact them? Options: Auditor, Transfer agent, Financial printer, Registrar/transfer agent, Other — specify
• When an auditor requests a document or confirmation on an expedited timeline, who on your team is authorized to approve our response or production? Options: General Counsel, Deputy GC, Head of Finance/Controller, Corporate Secretary, Other
• Have you experienced missed handoffs with your transfer agent or printer that affected a filing? If yes, tell us what went wrong and how you resolved it.
• Do your auditors or transfer agent require NDAs, vendor questionnaires, or security attestation before we communicate with them? Options: Yes — security attestation (SOC2), Yes — vendor questionnaire, Yes — NDA, No formal requirements, Not sure
• What is your preferred escalation chain (names/roles and contact preferences) for time-sensitive external partner issues?

Where Does the Truth Live? (Document Sources & Version Control)

• Where are your official filing source documents kept today (single source of truth)? Options: SharePoint / OneDrive, Box, Google Drive, Local drives / email attachments, Document management system (DMS), Paper/physical files
• How do you manage versions and redlines—do you have a golden copy, naming conventions, and reviewer sign-off workflow? Options: Yes — defined versioning & golden copy, Partially — conventions but inconsistent, No — ad hoc redlines
• Who serves as final document owner for core filing components (financials, MD&A, legal disclosures, officer/director info)? Name roles. Options: Finance (financial statements), Legal (disclosures/MD&A), Corporate Secretary (definitive filings), IR/Communications (public messaging), Other
• Describe your typical draft-to-file timeline for a major filing (hours/days for first draft, internal review, auditor review, legal review, printing/EDGAR submission).
• Are there automated connectors or APIs between your DMS and EDGAR/XBRL tools we should know about? Options: Yes — API/connectors exist, Partially — some integrations, No — manual exports/imports, Unsure

Security That Lets You Sleep at Night (Or Keeps You Up)

• How confident are you in your current security controls around filing assets, credentials, and vendor access? Options: Very confident, Somewhat confident, Not confident, Unsure
• Which of the following controls are already in place for vendor/counsel access? Options: SSO with SAML/Okta, MFA for all users, Role-based permissions, Time-limited access, IP whitelisting, None of the above
• Do you require vendors to have security attestations (SOC2 Type II, ISO 27001) or to complete security questionnaires before engagement? Options: Yes — SOC2 required, Yes — ISO 27001 required, Yes — vendor questionnaire only, No formal requirement, Unsure
• Have you ever had a security incident involving filing credentials, drafts, or vendor access? If yes, what happened and what controls changed afterward?
• Are there internal policies about personal device use, remote access, or retention that govern how we should handle filing materials? Options: Yes — detailed policy, Yes — basic guidance, No policy, Unsure

When the Unexpected Arrives: Failure Modes & Rehearsals

• If an EDGAR submission is rejected the night before a deadline, what is your realistic recovery expectation and who is empowered to execute it? Options: We can recover same day, We can recover within 48 hours, We would need to extend/notify the exchange, Unsure
• Have you performed a live filing rehearsal in the past 12 months (EDGAR submission + XBRL check + printer handoff)? If so, what failed and what improved? Options: Yes — rehearsal completed and passed, Yes — rehearsal completed with issues, No rehearsal in last 12 months, Never rehearsed
• What are your top three historical failure modes (e.g., missing exhibits, XBRL tagging errors, late EDGAR submission, transfer agent mismatch)?
• Do you have a backup filer or emergency EDGAR account and a documented contingency plan? Options: Yes — backup filer documented, Backup exists but untested, No backup / need to establish
• How would a fast, external response team best integrate with your incident response (preferred communication channel, decision authority, and time-to-response expectation)? Options: Phone + email escalation (immediate), Secure chat/workspace, Formal incident ticketing, Mixed — specify preferences

Decisions to Cross the Finish Line—Who Signs What and When

• If we needed to be fully operational for a live filing in 10 business days, which of the following must be completed before we start? Options: EDGAR access granted, Vendor security questionnaire complete, Primary contacts confirmed, Sample-file review approved, Access to source documents
• Who within your organization will approve sample-file review results and acceptance criteria (role and backup)? Options: General Counsel, Deputy GC, Corporate Secretary, Head of Finance, Other
• What turnaround times do you expect from us for emergency edits, SEC comment responses, and Section 16 filings? Options: Same business day, Within 4 hours, 24 hours, 48+ hours
• What are your hard non-negotiables for launch (e.g., MFA on access, SOC2 attestation, 2-week test run) and what are flexible preferences?
• When should we schedule a hands-on onboarding sprint and an initial filing rehearsal? Provide 2–3 preferred date windows.

Quick hello — who are you and what brought you here?

• Which title best describes you? Options: General Counsel, Deputy General Counsel, Associate GC (Securities), Corporate Secretary, Fund Compliance Officer, Other
• What triggered this conversation today? Options: First post‑IPO 10‑K, Substantive SEC comment letter, New Section 16 obligation, Routine filing cadence improvement, Other
• How often does your team prepare SEC filings (10‑K/10‑Q/8‑K/Proxy) in a 12‑month period? Options: Monthly or more, Quarterly cadence, Annual-heavy (few filings), Irregular / ad hoc
• Who will be the primary point of contact for disclosure coordination on your side? Options: Me, Assistant/Paralegal, Head of Accounting, Corp Sec, External consultant, Other
• Briefly describe your most recent filing experience in one or two sentences—what went well and what didn’t?

If this filing goes off the rails, whose head rolls? (Let’s name the stakes.)

• How concerned are you about regulatory escalation (SEC investigation or formal inquiry) if a disclosure error occurs? Options: Very concerned, Somewhat concerned, Neutral, Not concerned
• Have you experienced a restatement, late filing, or material SEC comment in the past three years? Options: Yes — restatement, Yes — late filing, Yes — substantive comment, No
• If you answered yes, please describe the incident and the impact on the company and the team.
• Which internal consequences worry you most if filings fail (select top two)? Options: Director/officer personal liability, Lost investor confidence, Audit committee scrutiny, Regulatory fines/sanctions, Public reputational damage, Operational disruption
• On an emotional level, how does managing disclosure risk make you feel right now? Options: Anxious/urgent, Frustrated, Somewhat confident, Overwhelmed but hopeful, Calm

Walk me through a filing like I’m on your team — how does it actually happen?

• Who currently owns each stage of a typical filing (drafting, accounting review, legal review, XBRL tagging, EDGAR submission)? Options: In‑house legal, In‑house accounting/finance, External law firm, External XBRL vendor, Financial printer, Combination (please specify below)
• Which tools and platforms do you use today for drafting, XBRL, and EDGAR submission? Options: Microsoft Word/Track Changes, Google Docs, EDGAR browser/filing tool, XBRL tagging tool (vendor), Internal CMS, Financial printer portal, Other
• What is your typical timeline (days) from first full draft to EDGAR submission for a 10‑K, 10‑Q, and 8‑K? Options: 10‑K: >30 / 10‑Q: 15‑30 / 8‑K: <7, 10‑K: 20‑30 / 10‑Q: 10‑20 / 8‑K: <3, 10‑K: <20 / 10‑Q: <10 / 8‑K: same day/24 hrs, Varies widely
• Where do handoffs most often break down (examples: XBRL, accounting responses, final signoff)?
• Who are your external partners we’ll likely need to coordinate with (audit firm, transfer agent, financial printer, XBRL provider)? Please name and provide the contact role if available.
• How standardized are your templates and precedents (MD&A structure, risk factors, disclosures) on a scale from 1–5? Options: 1 — No templates, 2 — Few templates, 3 — Some standardized templates, 4 — Mostly standardized, 5 — Fully standardized

Where do the surprises live — and are you noticing the same ones over and over?

• How frequently does the SEC send comments on your filings? Options: Rarely (<10% filings), Occasionally (10–30%), Often (30–60%), Frequently (>60%)
• What are the top three comment themes you routinely see (e.g., revenue recognition, MD&A clarity, related‑party, XBRL tagging)?
• Have you had XBRL rejections or EDGAR submission errors in the last 12 months? If so, how many and what caused them? Options: None, 1–2, 3–5, More than 5
• Who prepares and reviews XBRL tagging now, and how does that person/team coordinate with legal/accounting? Options: In‑house XBRL expert, External XBRL vendor, Accounting firm does it, We don’t have a clear owner
• How do you typically discover MD&A gaps—during first draft, accounting review, or after SEC feedback? Options: First draft (legal), Accounting review, External auditor review, After SEC comment

If you could wave a wand, what would a worry‑free filing cycle look like?

• Which of these outcomes matter most to you? Rank your top three. Options: Fewer SEC comments, On‑time filings every time, No restatements, Clean XBRL submissions, Fast turnaround in earnings season, Clear audit committee reporting
• What concrete signals would tell you the engagement is succeeding (examples: % drop in comments, average turnaround time, auditor feedback)?
• What SLAs or turnaround times feel acceptable during a normal quarter vs. earnings season? Options: Normal: 3–5 business days; Earnings: 24–48 hrs, Normal: 5–10 business days; Earnings: 48–72 hrs, Normal: 1–2 weeks; Earnings: 72+ hrs
• What acceptance criteria must be met before your team signs off on a live deliverable (XBRL check, EDGAR test, MD&A signoff)?
• How will you measure the ROI of outside counsel managing filings — what metrics matter to your board or audit committee? Options: Reduction in SEC comments, Time to final filing, Number of post‑filing amendments, Cost per filing, Audit committee satisfaction

Who needs to be convinced — and how fast can they say yes?

• Who are the decision‑makers that must approve contracting and scope (select all that apply)? Options: General Counsel, CFO/Head of Accounting, CEO, Board Chair/Audit Committee, Procurement, Legal Ops
• What legal or procurement constraints do we need to anticipate (insurance, IP, indemnity, billing rate caps)?
• Do you require a sample‑file review or marked drafting sample as part of vendor evaluation? Options: Yes — detailed marked sample, Yes — short sample with comments, Optional, No
• What is your typical procurement timeline from proposal to executed contract? Options: <2 weeks, 2–4 weeks, 1–2 months, >2 months
• Are there budget or rate ceilings we should know about before proposing an engagement model? Options: Yes — fixed budget, Yes — hourly cap, Flexible, Undisclosed/decide per engagement

Is the company operationally ready for an external filing partner?

• Do you already have EDGAR credentials and full filer access (Cik/Password) available for vendor handoff? Options: Yes — ready to hand off, Partial — needs coordination, No — we will retain submission control
• Who will provide final EDGAR/XBRL submission access: in‑house, transfer agent, or external printer? Options: In‑house legal/finance, Transfer agent, Financial printer, External counsel will submit
• Are auditor and transfer‑agent points of contact assigned for the next filing cycle? Options: Yes — named contacts, Yes — roles assigned but not names, No — need to identify
• What security controls or vendor onboarding requirements must we satisfy (SOC2, background checks, data access policies)? Options: SOC2 Type II, NDA only, Vendor questionnaire, Background checks, Other
• What would block a handoff of EDGAR/XBRL access right now?
• How do you prefer to escalate urgent filing issues (phone, Slack/channel, email, scheduled war‑room)? Options: Phone + email, Dedicated Slack/Teams channel, Emergency call tree, Email only

Let’s make the first 90 days predictable — what would you need from us?

• Would you be willing to run a live filing rehearsal (test EDGAR submission/XBRL check) as part of onboarding? Options: Yes — required, Yes — optional, No
• Which engagement model do you prefer for initial work (select one)? Options: Fixed‑scope pilot, Retainer with per‑filing fees, Hourly/time & materials, Project basis (per filing)
• What expectations do you have for sample‑file turnaround and markup quality during evaluation? Options: 24–48 hours, 3–5 business days, One week, Depends on scope
• What would cause you to walk away during pilot/proof‑of‑concept (non‑negotiables)?
• Assuming alignment, how soon would you realistically be ready to begin an onboarding sprint? Options: Immediately, In 1–2 weeks, In 1 month, Longer than 1 month