Company Name:
Contact Name:
*
Phone:
Your Story:
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How would you characterize the Security and Exchange Commission today?
1
Regulatory Body for going public Champion of Small Business Investor's policing body Other
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How would you characterize the process for a small business issuer to access the capital markets?
2
Easy Moderate Difficult Impossible
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What is the greatest challenge any of your portfolio companies faced when dealing with the SEC?
3
Responding to SEC comments during registration phase Understanding accounting principals during year-end reports Other
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If you had a choice in regards to reform with the SEC, which aspect of the organization would you
focus on first?
4
Investment Company Act of 1940 Methods used when a company is applying to go public Securities Act of 1934 Other
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Does the SEC understand the "New" economy?
5
Yes No Not Sure
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Does the SEC embrace the "New" economy?
6
Yes No Not Sure
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How would you characterize the SEC's process when reviewing a company filing to register its
shares with a public market?
7
Objective Subjective A combination of the two Not sure
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