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29 Apr 2015, 3:25 am
Also weigh in on this poll about whether you want us to conduct a webcast on this new proposal: survey hosting – Broc Romanek [read post]
19 Aug 2015, 3:15 am
Here’s a list of the nine panels that will span over four hours of practical instruction on Tuesday: – “Overview: The Final Rules” – “Getting Ready for Compliance: Sampling & Other Data Issues” – “Streamlining Your Compliance Efforts” – “Board Presentations: What To Tell Boards Now” – “Disclosure: Handling the Transition Period” – “Parsing Model Disclosures: US-Only Workforces”… [read post]
19 May 2010, 5:00 am
- Broc Romanek [read post]
7 Jun 2010, 4:34 am
" - Broc Romanek [read post]
30 Jul 2013, 4:05 am
] - Broc Romanek [read post]
2 Mar 2017, 3:58 am
– Broc Romanek – still employed (but the day is young)… [read post]
18 May 2017, 3:36 am
– Broc Romanek [read post]
12 Jun 2015, 3:26 am
Even with that as a backdrop, I’m pretty confident that a number of qualified individuals would be more than happy to become a Commissioner… – Broc Romanek [read post]
7 Jan 2016, 3:22 am
Sound advice from Keith Bishop in this blog – perhaps a little late now that the holiday party circuit is over… – Broc Romanek [read post]
23 Apr 2015, 3:33 am
Meanwhile, this page lists 6 Twitter handles for the SEC, including two of the regional offices having their own handles… Private Placement Brokers: FINRA Highlights In Annual Exam Letter As covered in this Morrison & Foerster memo, FINRA has published a longer annual priorities letter than it typically does – and tackles a number of issues related to private placements including: – Inadequate due diligence by broker-dealers in connection with private placements –… [read post]
21 Sep 2018, 3:54 am
– Broc Romanek [read post]
2 Feb 2015, 3:29 am
– Broc Romanek [read post]
6 Mar 2009, 3:18 am
Online Surveys & Market Research - Broc Romanek [read post]
29 Jun 2011, 5:32 am
- Broc Romanek [read post]
24 Oct 2016, 3:24 am
– Audit Report Transparency: Netherlands Trumps US – Hands Down – Omnicare Applied to Audit Reports – Broc Romanek [read post]
28 Jun 2013, 4:27 am
- Broc Romanek [read post]
25 Mar 2016, 3:03 am
” This follows the “request for comment” that the SEC put out about Regulation S-X last September… – Broc Romanek [read post]
19 Nov 2007, 3:35 am
- Broc Romanek [read post]
13 Feb 2012, 4:04 am
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23 Sep 2013, 3:07 am
Mulls Audit Reforms - Delaware Enacts Benefit Corporation Legislation - Fair Value Reporting: Active Markets Not a Sound Basis - GAO Issues Report on Internal Control Audits for Small Companies - Broc Romanek [read post]
