Getting to know your reporting rhythm

• How many major SEC filings does your team handle in a typical 12 month cycle? Options: 1-3, 4-6, 7-10, More than 10
• Tell me about the last annual filing cycle your team completed, what went smoothly and what surprised you?
• Which filings in the next 12 months would you expect this engagement to cover? Options: Form 10-K, Form 10-Q, Form 8-K, Proxy statement, Section 16 reports, Form ADV, Registration statement
• Who on your team will own legal review, and who will be the final signatory for each filing? Options: General counsel, Deputy general counsel, Associate GC for securities, Corporate secretary, CFO, Other
• Which outside partners, such as the audit firm, transfer agent, or financial printer, will need to participate in review windows? Options: Audit firm, Transfer agent, Financial printer, Investor relations, No outside partners identified, Other

Where the process breaks and what that costs you

• If your next 10-K drew an SEC comment letter that required major MD&A revisions, what would be the most damaging consequence for the company?
• When did you last receive an SEC comment that required material disclosure change, and what changed because of it?
• Describe the parts of your drafting workflow that create the most version control or accountability confusion.
• Which single control or gap, if fixed, would most reduce the risk of a restatement or a formal inquiry? Options: MD&A review checklist, XBRL tagging QA, Signatory escalation rules, Transfer agent coordination, Accounting close timing
• How often do filing delays cause missed earnings guidance, proxy timing problems, or other material timing issues? Options: Almost every filing, Often, Occasionally, Rarely

Who must be involved, and who feels the heat when things slip

• Who will be held personally accountable if a Section 16 late filing occurs, and how would that affect their willingness to move quickly?
• Which stakeholders outside legal must be available during core review windows? Options: Accounting/finance, Investor relations, CFO, Audit committee, Transfer agent, Financial printer
• To whom does your finance team escalate questions about MD&A narrative or footnote presentation? Options: CFO, Controller, External auditor, General counsel, Other
• How rapidly can your accounting team produce final trial balance and footnote inputs during peak windows? Options: Within 24 hours, 48 hours, 3-5 business days, Longer than 5 business days
• Do you have a named transfer agent or printer contact who can commit to turnaround SLAs in filing weeks? Options: Yes - named and confirmed, Yes - named but needs confirmation, No - needs assignment

Timing in practice, not just on a calendar

• If you needed a complete draft, XBRL tagging, and EDGAR-ready files within 48 hours, what element of your current process would fail first?
• Which parts of the timeline are fixed by regulation, and which are internal preferences for your board or executives? Options: Regulatory deadlines, Board reporting windows, Earnings release schedule, External partner constraints, Other
• How many concurrent SEC filings typically converge on your calendar during peak earnings season? Options: 1-2 filings, 3-4 filings, 5-6 filings, 7 or more filings
• Which turnaround SLAs are acceptable for first draft review and final sign-off? Options: 24 hours, 48 hours, 3 business days, 5 business days
• What single timing constraint would prevent you from engaging an external filing partner for a cycle?

How you will know this actually worked

• If this engagement cut your SEC comment volume in half, which internal metric or board conversation would prove it succeeded?
• Which success signals will you track: fewer comments, zero late filings, no audit adjustments, or faster review cycles? Options: Fewer SEC comment letters, Zero late filings, No audit adjustments post-filing, Faster internal sign-off times, Improved XBRL validation results
• Who will sign acceptance of the final deliverables at the end of the reporting cycle? Options: General counsel, Deputy GC, Corporate secretary, CFO, Audit committee chair
• How soon after a pilot would your leadership commit to a longer engagement if targets are met? Options: Immediately, Within 1 month, 1-3 months, Longer than 3 months
• What would have to be true about the seller's liability posture for your legal team to accept it?

Alternatives you are weighing and why you might stay put

• What are the main alternatives you are seriously considering instead of hiring an outside filing firm? Options: Keep current internal team, Move filings to a different law firm, Use audit firm services, Build XBRL capability internally, Other
• Which internal teams have proposed taking responsibility for filings instead of engaging an external partner? Options: Legal, Finance/accounting, Regulatory compliance, Investor relations, No internal proposal
• Which incumbent vendors or outside counsel have you used previously for filings? Options: Existing outside counsel, Audit firm, Specialist filing vendor, No incumbent
• What would need to be true about your current approach for you to keep it rather than switch to an outside firm?
• Has anyone on your leadership team proposed handling XBRL tagging or EDGAR submissions internally, and if so who would own that plan? Options: Yes - legal, Yes - finance, No - not proposed
• Which single proof point from a competing firm would make you lean toward them immediately? Options: Faster turnaround demonstrated, Lower historical SEC comments, Fixed fee model, Stronger liability protections, Dedicated account team

Operational readiness, the facts we cannot skip

• Which missing system access, dataset, or vendor approval would stop the project before it starts?
• Which of these access items do you already have, EDGAR credentials, financial printer contract, transfer agent contact, or named accounting owner? Options: EDGAR credentials, Financial printer contract, Transfer agent contact, Named accounting owner, None of the above
• Who owns the integration or APIs that would transmit financials or footnote source files to an outside team? Options: Finance systems team, IT integrations team, External vendor, No owner identified
• How clean are your draft financials at first submission, for example how many restatements or audit adjustments happen after initial filing? Options: Usually final, Some adjustments common, Frequent adjustments
• Do you have dedicated headcount assigned to support review cycles during peak weeks? Options: Yes - fully dedicated, Partially allocated, No dedicated headcount
• Are there board approvals or regulatory consents that could gate an on-time submission? Options: Yes - board approvals, Yes - regulator consents, No gating approvals identified
• If any single readiness item is missing today, what is your mitigation plan and maximum acceptable delay?

Rules of engagement and the trade offs you will accept

• What allocation of liability and what fee structure would cause you to walk away from hiring an outside filing partner?
• Which level of liability protection does your legal team require, full indemnity, shared liability, or minimal allocation? Options: Full indemnity, Shared liability, Minimal vendor liability
• How do you prefer SLAs for draft turns during filing weeks, 24 hours, 48 hours, or 5 business days? Options: 24 hours, 48 hours, 3-5 business days, Variable by document type
• Who on your side must approve emergency amendments or fee increases outside the baseline scope? Options: General counsel, CFO, Corporate secretary, CEO, Board chair
• Which contract clause typically requires the most redlining from your legal team? Options: Liability or indemnity, Fees and expenses, Confidentiality and data access, Termination and remedy

Deciding fast, the next steps that accelerate or kill the deal

• If a short pilot proves the seller meets your quality and timing thresholds, what is the fastest path to a signed engagement?
• Which stakeholders must be present for a mutual commit decision and final signature? Options: General counsel, Deputy GC, CFO, Corporate secretary, CEO, Audit committee chair
• How quickly can you grant EDGAR test access and provide the documents needed to run a pilot? Options: Immediately, Within 48 hours, Within a week, Longer than a week
• What single internal approval would allow you to sign within one week after a successful pilot?
• Are you prepared to move to a 4 to 6 week onboarding timeline if the pilot validates integration and SLAs? Options: Yes, Maybe, No

• Solution Experience — Filing Workflow Walkthrough

• Orientation: end-to-end filing primer
• You confirm the demonstrated workflow and annotated markup eliminate the drafting confusion and repeated review cycles described in Discovery.
• Provide the latest draft filing and the most recent accounting schedules used for the filing.
• Confirm the current state and its cost to your team
• You accept the proposed peak-window SLAs and ownership map as sufficient to meet your filing deadlines and reduce SEC comment exposure.
• Identify the named owner of EDGAR access and provide transfer agent and financial printer contacts.
• Map your filing workflow end-to-end in your context
• Deliver a tailored annotated sample markup for the buyer's filing type and a proposed peak-window SLA timeline within five business days.
• You agree on the remaining concrete evidence needed to finalize scope and pricing before a mutual commit.
• Confirm the internal decision timeline and list of stakeholders required for a mutual commit.
• Review a tailored sample markup with SEC-style annotations
• Show expected turnaround and ownership during peak windows
• Validate that this maps to your needs

• Solution Experience — Filing Workflow Walkthrough
• Solution Experience Deck
• Solution Brief — Filing Workflow

• meeting
• slides
• document

• Drafting Kickoff and Access Confirmation
• MD&A Draft Gap Review
• XBRL Tagging Plan and Complex Element Resolution
• Third-Party Coordination Matrix
• Consolidated Pre-Submission Review and Finalization

• Publish the coordination matrix and circulate to all third-party contacts.
• Collect confirmations from accounting on mapping of financial line items to tags.
• Execute the initial QA run on tagged instances and report any errors or open questions.
• Confirm transfer agent deliverables and timeline
• Completed coordination matrix listing each third-party deliverable, deadline, and contact role.
• Agreed data freeze dates and accounting sign-off milestones documented.
• Documented contingency steps and escalation path for late inputs.
• Confirm scope and success signals
• Provide final file format requirements and sample output templates to the financial printer.
• Set calendar holds for accounting sign-off milestones and data freeze dates.
• Review updated MD&A and confirm gap resolution
• Consensus decision to proceed to regulatory submission or a short list of final blockers with deadlines.
• Completed and signed pre-submission checklist meeting the defined acceptance criteria for MD&A, tagging, and third-party deliverables.
• Documented follow-up tasks with deadlines for any outstanding items required prior to upload.
• Finalize and lock the submission files for upload to the regulatory submission portal.
• Deliver any outstanding accounting schedules, reconciliations, or clarifications within the agreed deadlines.
• Execute the pre-submission checklist and publish the final sign-off record.
• Finalized draft and review schedule with review cycle deadlines and turnaround SLAs.
• Documented access and version control plan for the document repository and submission portal.
• List of MD&A sections prioritized for the first drafting pass.
• Publish the agreed draft schedule and review calendar.
• Provide access credentials or access instructions for the document repository and submission portal.
• Deliver initial MD&A data packages for the prioritized sections.
• Section walkthrough of the MD&A draft
• Documented MD&A gap register with rationale and risk level for each item.
• Catalog of required accounting deliverables and target due dates to close each gap.
• Prioritized remediation plan for MD&A edits ready for the next drafting window.
• Produce and circulate the consolidated MD&A gap register for confirmation.
• Request the specific accounting schedules, reconciliations, and analyses needed to address each gap.
• Schedule the next drafting window to incorporate agreed MD&A changes.
• QA checklist and acceptance criteria for tagging ready for execution.
• Produce the tagging workbook with example tags for each complex element.
• Confirm XBRL scope and taxonomy selection
• Approved XBRL tagging plan with taxonomy choice and extension policy documented.
• List of complex elements with sample tags requiring preparer or accounting confirmation.
• Lock draft and review schedule
• Confirm XBRL tagging status and QA results
• Confirm financial printer schedule and format requirements
• Identify disclosure gaps and materiality questions
• Identify complex elements and sample tag proposals
• Capture accounting analysis and supporting data required
• Resolve labeling, units, and period anchoring rules
• Confirm repository access and submission portal plan
• Run the pre-submission checklist including repository and third-party confirmations
• Confirm accounting firm deliverables and sign-off milestones
• Set QA checkpoints and acceptance criteria for tagging
• Agree contingency and escalation procedures for late inputs
• Decision and capture final blockers or sign-off
• Prioritize gaps by risk and time to remediate
• Prioritize MD&A sections for first drafting pass
• Agree communication and escalation rules during peak windows

• Draft and deliver Form 10-K
• Prepare and submit EDGAR filings
• XBRL tagging and quality review
• Draft SEC comment letter responses
• Draft and deliver Form 10-Q
• Draft and file Form 8-K
• Draft and file proxy statement
• Prepare and file Section 16 reports
• Prepare and file registration statements
• Prepare and file Schedule 13D/G
• Prepare and file Form ADV
• MD&A substantive redraft and remediation
• Integrate auditor financial edits into filing
• Provide proof-ready proxy materials for printer
• Expedited amendment and late-filing remediation

Draft and deliver Form 10-K

• Do you require a full management's discussion and analysis (MD&A) substantive redraft for the Form 10-K? Options: Yes, No, Partial (specific sections)
• Which comparative fiscal years and quarterly periods must the Form 10-K include (for example fiscal year 2025, prior-year comparatives)?
• Who will provide the audited financial statements and the auditor's report that must be incorporated into the Form 10-K?
• What acceptance criteria will confirm the 10-K draft is approved for EDGAR submission (for example CFO sign-off, audit comfort letter, final XBRL validation)?
• How many internal review cycles do you require for the Form 10-K draft before finalization? Options: 1, 2, 3, 4+

Prepare and submit EDGAR filings

• When do you need EDGAR submissions completed relative to the SEC filing deadline (for example T-0, T-1 business day)? Options: Same day (T-0), 1 business day before (T-1), 2+ business days before, As late as possible (close to deadline)
• Are there multiple CIKs, filer accounts, or accession-number patterns we must use for EDGAR submission? Options: Single CIK, Multiple CIKs, Filer agent account, Unknown — need discovery
• Describe the EDGAR credentials and access method you will provide (for example direct EDGAR account credentials, filing agent access, secure portal upload). Options: Direct EDGAR account (CIK/credentials), Filing agent access, Secure portal upload, Unknown — will provide later
• Provide timing for blackout windows or embargo periods affecting EDGAR submission (for example earnings-release windows or trading-halt windows).
• Confirm the evidence we will accept to verify successful EDGAR submission (for example EDGAR accession number, submission receipt PDF, filing confirmation email). Options: Accession number, Submission receipt PDF, Filing confirmation email, All of the above

XBRL tagging and quality review

• Select the XBRL taxonomy and extension approach for this filing (for example US GAAP taxonomy with limited extensions or full taxonomy extensions). Options: US GAAP taxonomy with limited extensions, US GAAP taxonomy with full extensions, Inline XBRL only, Other
• List the financial statements and specific footnote schedules that require XBRL tagging in this cycle (for example balance sheet, statement of cash flows, footnote 3 — revenue recognition).
• Estimate the total number of XBRL facts or rows you expect will require manual extension tagging for this filing. Options: Less than 100, 100-500, 500-2,000, More than 2,000
• Specify the validation tolerance for XBRL QA we should use (for example zero fatal EDGAR validation errors or a capped number of non-fatal warnings). Options: Zero fatal errors, No more than 5 non-fatal warnings, Allow up to 10 warnings, Other
• Identify the in-house reviewer with XBRL experience who will approve tagging decisions and resolve proposed taxonomy extensions.

Draft SEC comment letter responses

• Indicate the typical turnaround you require for initial SEC comment letter draft responses (for example 2 business days or 5 business days). Options: 1 business day, 2 business days, 3-5 business days, 5+ business days
• Approximate how many substantive comment threads you expect from the SEC or exchange for this filing cycle. Options: None expected, 1-3 comments, 4-10 comments, More than 10
• Please name the internal owner who will provide factual confirmations and document citations needed to support SEC comment responses.
• Choose the review chain for SEC comment responses (for example general counsel review, CFO review, audit committee involvement). Options: GC/Deputy GC review, CFO and accounting lead review, Audit committee involvement, Other
• State any evidence you require to accept our drafted SEC response before submission (for example annotated exhibits, signed management representation). Options: Signed management representation, Annotated exhibits, Executive approval email, Combination of above

Draft and deliver Form 10-Q

• Outline which quarter(s) and comparative periods the Form 10-Q must cover, including any revised prior-quarter adjustments.
• Confirm whether interim financial statements will be reviewed by external auditors for comfort or review procedures. Options: Yes — review performed, No — not reviewed, Under discussion
• Attach any sample prior 10-Q sections or recent earnings releases that indicate disclosure tone and MD&A emphasis.
• Provide sample reconciliations or schedules the accounting team will deliver for the 10-Q (for example revenue rollforward, stock-based compensation schedule).
• Indicate preferred SLAs for draft and final 10-Q reviews (for example 24-hour draft turnaround during earnings season). Options: 24 hours, 48 hours, 72 hours, Custom (specify below)

Draft and file Form 8-K

• Detail which Form 8-K items you anticipate triggering during this period (for example Item 1.01 entry into material agreement, Item 2.02 results). Options: Item 1.01, Item 1.02, Item 2.02, Other
• Explain the internal approval threshold for filing an 8-K disclosure (for example CEO sign-off or board resolution required).
• Clarify whether exhibits such as contracts or press releases will be provided in final form or as drafts requiring redaction. Options: Final exhibits provided, Draft exhibits provided, Exhibits need drafting
• Provide timing for insider filings tied to 8-K events, including expected Section 16 reporting windows.
• Highlight any anticipated expedited amendment or late-filing remediation needs tied to expected 8-K events. Options: No expedited needs, Possible expedited amendment, Known late filing to remediate

Draft and file proxy statement

• Supply contact for the transfer agent and investor relations who will coordinate proxy mailing lists and shareholder communications.
• Provide access for reviewers to the draft proxy including executive compensation tables and beneficial ownership exhibits. Options: Yes — access granted, Access requires NDAs, No access until later
• Which structured-data or machine-readable disclosures, if any, must be produced for the proxy or Schedule 14A (for example beneficial ownership tables, executive pay tables)? Options: None, Beneficial ownership tables, Executive compensation tables, Other
• Who is authorized to approve final executive compensation disclosures and CD&A language for the proxy?
• How will the definitive proxy reach the financial printer and what proofing SLA do you require for printer-ready PDFs? Options: Secure upload to printer, Printer-managed portal, Other

Prepare and file Section 16 reports

• Will you provide broker-generated trade confirmations or do we need to prepare Form 4 exhibits from internal records? Options: Broker confirmations provided, We prepare from internal records, Combination
• Do internal compliance controls currently capture director and officer transactions in a way that supports timely Section 16 filing (for example pre-approved trade logs)? Options: Yes, No, Partial
• Are draft Section 16 filings subject to executive review prior to submission, or should we submit on behalf of reporting persons? Options: Executive review required, We may submit on behalf, Case-by-case
• Which broker relationships or transfer-agent processes do insiders use that may affect the timeliness of Section 16 reporting?
• In the event of a late filing exposure, outline the expedited amendment and late-filing remediation steps you want invoked.

Prepare and file registration statements

• Do you plan to include an offering of primary shares, secondary shares, or both in the registration statement? Options: Primary only, Secondary only, Both, Unsure
• Which registration form type is required for this deal (for example Form S-1, F-1, or S-3 shelf)? Options: S-1, F-1, S-3, Other
• Who will provide the underwriting agreement, legal opinions, and other required exhibits for the registration statement?
• What is the target effective date or cooling-off period timeline for the registration statement?
• How many material contracts or disclosure schedules will need redaction and exhibit numbering in the registration statement? Options: 0, 1-5, 6-15, More than 15

Prepare and file Schedule 13D/G

• When do you expect to cross beneficial ownership thresholds that trigger Schedule 13D or 13G reporting? Options: Immediately, Planned within 30 days, Not expected, Unknown
• Are there coordinated filings, warrants, or derivative instruments that affect beneficial ownership calculations for Schedule 13D/G? Options: Yes, No, Unknown
• Describe the beneficial owner entities and control relationships that should be disclosed on the Schedule 13D/G.
• Provide the exact securities and CUSIPs subject to beneficial ownership reporting for the Schedule 13D/G filing.
• Indicate the types of documentation you will provide to support beneficial ownership calculations (for example broker statements, transfer agent ledgers, sworn affidavits). Options: Broker statements, Transfer agent ledger, Sworn affidavits, Other

Prepare and file Form ADV

• Select the Form ADV parts and sections that require drafting or amendment (for example Part 1A, Part 2A brochure, Part 2B supplements). Options: Part 1A, Part 2A brochure, Part 2B supplements, All applicable parts
• List the advisory activities, assets under management categories, and custodian relationships that must be disclosed on Form ADV.
• Estimate the frequency of Form ADV updates you require (for example annual updating amendment, quarterly, or material-change-driven). Options: Annual update, Quarterly, Material-change-driven, Other
• Specify whether performance and fee calculations require independent verification or will be prepared internally for Form ADV exhibits. Options: Independent verification required, Prepared internally, Combination
• Identify any exempt reporting adviser or private-fund adviser carve-outs that affect whether Form ADV filing or amendments are required.

MD&A substantive redraft and remediation

• Indicate which MD&A topics need substantive redraft (for example liquidity and capital resources, critical accounting estimates, known trends). Options: Liquidity and capital, Critical accounting estimates, Known trends, Other
• Approximate the number of material non-routine transactions during the year that require disclosure in MD&A. Options: 0, 1-3, 4-10, More than 10
• Please name the accounting leads who will confirm facts for MD&A management assumptions and estimates.
• Choose whether you want a redline markup that highlights risk-language changes and new quantitative disclosures. Options: Redline markup, Clean draft only, Both
• State the reviewers who must sign off on remediated MD&A (for example CFO, audit committee chair). Options: CFO, Audit committee chair, CEO, General counsel

• Master Services Agreement (MSA)
• Statement of Work (SOW)
• Fee Schedule and Payment Terms
• Mutual Confidentiality Agreement (NDA)
• Filing Liability and Indemnification Addendum
• Timeline and Dependencies Schedule
• Authorization for Filing Agent and EDGAR Submission
• Regulatory Compliance Addendum (conditional)

• Go-live Health Check
• First Measurement Review
• Acceptance Gate, Outcomes Review and Sign-off
• Quarterly Success Review

• Publish a quarterly regulatory digest into the shared channel and confirm the monitoring owners.
• Update the shared issue tracker with status on each corrective action and the expected verification evidence for the acceptance gate.
• Restate acceptance criteria and targets
• Produce a documented pass or fail outcome for each acceptance criterion recorded in Solution Scope.
• Obtain a documented acceptance decision with the named buyer signatory or record conditional acceptance with a remediation plan.
• Agree dates and evidence for verifying any remediation items before final acceptance is closed.
• Publish the acceptance report that records pass/fail per Solution Scope criterion and include verification evidence.
• Execute the remediation tasks for any conditional or failed items and schedule verification checks on agreed dates.
• Ensure the buyer signatory's acceptance decision is archived in the project record.
• Trend review of key metrics
• Confirm SEC comment letters per filing cycle and XBRL tagging error rate remain within acceptable ranges versus Solution Scope targets.
• Reduce the list of persistent issues and agree the next quarter's priority remediation items.
• Ensure the regulatory monitoring channel is maintained and escalation rules are current.
• Update the shared issue tracker with quarter-end status and next steps for persistent items.
• Schedule focused training or process refresh sessions for recurring tagging or disclosure errors.
• Reconfirm success criteria and ownership
• Confirm EDGAR credentials, submission routing, and named owners for the next filing cycle are validated.
• Identify and record all go-live blockers with remediation dates and owners.
• Ensure at least one reviewer has completed the full draft-to-review workflow successfully.
• Resolve any outstanding EDGAR access or submission routing failures and confirm success in writing.
• Publish the open-issues log with owners and target resolution dates to the shared channel.
• Schedule a short walkthrough for reviewers who need process refreshers before the next filing cycle.
• Present first-cycle outcome data
• Determine whether on-time filing rate and draft review SLA compliance rate are on track toward Solution Scope targets.
• Document root causes for any metric shortfalls and agree concrete remediation actions with dates.
• Confirm the set of evidence to present at the acceptance gate meeting.
• Produce a short remediation plan for each off-target metric, including tasks, owners, and completion dates.
• Run an XBRL tagging quality check on recent filings and log any systemic tagging errors for correction.
• Present outcome data against each criterion
• Open issues and blocker burn-down
• Deployment and access validation
• Diagnose gaps and root causes
• Document pass or fail per criterion
• Early adoption and usage signals
• Regulatory monitoring and alert channel
• Agree corrective actions and owners
• Blockers and open issues log
• Confirm timeline to acceptance gate
• Process or documentation adjustments
• Formal acceptance decision and signatory
• Agree immediate remediation actions
• Agree remediation and verification timeline
• Short list of priorities for next quarter