Request a proposal
Home / Services / SEC compliance
Accounting advisory

SEC compliance

Outsourced SEC reporting, filing-process support, SOX 404 readiness, and technical accounting assistance for public-company reporting teams.

Deliverables

  • 10-K, 10-Q, 8-K, S-1, S-3, and S-4 filing support
  • Disclosure checklists, tie-out binders, and quality-control review
  • EDGAR and XBRL coordination
  • SOX 404 evaluation and remediation support
  • Technical accounting memos for reporting matters

Relevant frameworks

  • SEC Regulation S-X / S-K
  • 1933 Act and 1934 Act reporting requirements
  • SOX Section 404
  • FASB ASC and IFRS Accounting Standards
  • PCAOB auditing standards

When CFOs call us

  • Quarterly or annual filing deadline
  • New public-company reporting team
  • S-1, S-3, S-4, or transaction filing
  • SOX 404 readiness or remediation

SEC compliance

How much could your organization accomplish if public-company reporting obligations were a non-event? We provide outsourced SEC compliance services to companies nationwide, helping reporting teams meet filing deadlines with the quality expected by auditors, audit committees, counsel, and investors.

Our teams support registrants through 1933 Act and 1934 Act filings, SEC reporting calendars, technical accounting issues, XBRL and EDGAR coordination, disclosure controls, SOX 404 readiness, and audit-response processes.

1933 and 1934 Act filings

We have supported hundreds of filings for registrants of many sizes. Audit firms regularly refer SEC reporting matters to us because our teams understand the filing process, the sequencing of reviews, and the dependency management needed to keep the reporting calendar moving.

  • 10-K, 10-Q, 8-K, S-1, S-3, S-4, proxy, and registration statement support
  • Technical accounting issue resolution during the filing process
  • Filing schedules, dependency tracking, disclosure checklists, and edit-review coordination
  • Initial draft filing preparation, tie-out binders as a key control, and quality-control checks
  • EDGARization, XBRL tagging coordination, and counsel/auditor review management

Sarbanes-Oxley 404 evaluations

We help management evaluate the design and operating effectiveness of controls, document control owners and process narratives, identify gaps, and prioritize remediation before the reporting cycle is at risk. Our evaluation process is informed by a controls database of more than 230 controls, allowing the work to move efficiently while staying tailored to management’s control environment.

  • Risk assessment, significant location scoping, and process identification
  • Key-control documentation, testing support, deficiency analysis, and remediation planning
  • Disclosure controls, internal control evaluations, and audit-committee support

Technical accounting

Quarterly reviews and annual audit cycles often slow down when a reporting issue requires technical accounting or valuation expertise. We help companies move through those issues quickly with defensible memos, clear workpapers, and practical coordination with the audit team.

  • Technical position papers for reporting matters
  • Valuation analysis for business combinations
  • Goodwill and asset impairment assessments
  • Complex financial instrument and derivative valuation support
  • Equity compensation accounting assistance
Related client work

Representative case studies.

SEC Reporting

Udemy

Online Learning Marketplace Public Company

R&M provides Udemy with SEC compliance support and controllership / general-ledger staffing, embedding R&M professionals into the close cycle, reconciliations, and SEC filing process.

View case
SEC Reporting

ON Semiconductor

Semiconductor Manufacturing Public Company

R&M provided onsemi with technical SEC reporting support including 10-K preparation, EPS calculations, cash flow statement analysis, fixed asset analysis, and acquisition accounting consulting tied to several acquisitions.

View case
SEC Reporting

Amkor Technology

Semiconductor Packaging & Test Public Company

R&M served as Amkor's outsourced SEC reporting and interim financial-services partner across multiple fiscal years, supporting every quarterly 10-Q, annual 10-K, and ad hoc 8-K disclosure.

View case
IPO Readiness

Mesa Air Group

Regional Airline Public Company

R&M has served Mesa Air across IPO readiness, multi-year SEC 10-K and 10-Q compliance, ASC 606 capacity-purchase-agreement revenue recognition, and ASC 842 lease implementation across the aircraft fleet.

View case
FAQ

Common questions.

What does SEC compliance include?

The scope is tailored to the matter. Common deliverables include 10-K, 10-Q, 8-K, S-1, S-3, and S-4 filing support, disclosure checklists, tie-out binders, and quality-control review, EDGAR and XBRL coordination, SOX 404 evaluation and remediation support, and technical accounting memos for reporting matters.

When should a finance team call Rivers & Moorehead for SEC compliance?

Teams typically reach out when they need support with quarterly or annual filing deadline, a new public-company reporting team, S-1, S-3, S-4, or transaction filing, and SOX 404 readiness or remediation.

What standards or frameworks does this work consider?

Depending on the facts, the work may consider SEC Regulation S-X / S-K, 1933 Act and 1934 Act reporting requirements, SOX Section 404, FASB ASC and IFRS Accounting Standards, and PCAOB auditing standards.

Does Rivers & Moorehead provide audit or tax services?

No. Rivers & Moorehead is not a certified public accounting firm and does not provide attest, audit, review, compilation, or tax services. The firm works alongside management and external advisors on accounting advisory and valuation consulting matters.

Engage

Ready to scope SEC compliance support?

We respond within the business day. The first conversation is always with a partner — not a BD team.

Request a proposal