January 12, 2018

Federal Agency Workplace Survey: SEC Up to #5!

Congrats to the SEC! Since 2013, it’s moved up from 4th worst mid-size agency to work at – up to 5th best! Here’s the 2017 workplace survey results.

Recently, the SEC delivered its annual report on credit rating agencies to Congress…

SEC’s Investor Bulletin: How to Comment on Rule Proposals

Recently, the SEC issued this investor bulletin explaining how to submit comments on proposed rules. Also see our own checklist on this topic…

More on “The Mentor Blog”

We continue to post new items daily on our blog – “The Mentor Blog” – for members. Members can sign up to get that blog pushed out to them via email whenever there is a new entry by simply inputting their email. Here’s some of the newer entries:

– Why You Ain’t Getting a Board Seat
– Revenue Recognition: Pre-Clearing With Corp Fin Before IPOing
– SEC Investigations: “Are We Covered?”
– HSR: Watch Out for Those Comp Awards!
– Private Funds: ’40 Act Exemptions
– Reg A+ Offerings: Frequently Asked Questions

Broc Romanek