June 19, 2009

Going to Print: The Popular “Romeo & Dye Forms & Filings Handbook”

Good news. Peter and Alan just completed the 2009 edition of their popular “Section 16 Forms & Filings Handbook,” with numerous new – and critical – samples included among the thousands of pages of samples (remember that a new version of the Handbook comes along every 3 years or so – so those with the last edition have one that is dated). If you don’t try a ’09 no-risk trial to the “Romeo & Dye Section 16 Annual Service,” we will not be able to mail this invaluable resource to you in early July when it’s done being printed.

You can use this order form or order online. The Annual Service not only includes the “Forms & Filings Handbook,” it also includes the popular “Section 16 Deskbook” and the quarterly newsletter, “Section 16 Updates.” Get all three of these publications when you try a ‘09 no-risk trial to the “Romeo & Dye Section 16 Annual Service” now.

A Father’s Day Item: Becoming a “DAD”

From Keith Bishop: Are you, or would you like to become, a DAD? Pink OTC Markets provides an over-the-counter quotation system that is comprised of the OTCQX and Pink Sheets. These are not exchanges and the Pink OTC Markets is not a securities regulator or self regulatory organization.

A company that applies for admission to the OTCQX must have a “Designated Advisor for Disclosure” or otherwise known as “DAD.” A DAD may be either an attorney or an investment banking firm. According to the OTCQX rules: “The role of a DAD is to serve as a cautious and conscientious gatekeeper to prevent companies with inadequate questionable disclosure from joining OTCQX.” The OTCQX website currently lists a dozen attorney DADs.

By the way, I’ve heard that one investment banking firm was quoting a price of $90,000 to be a DAD. I must be living my life in reverse because all I do is write checks for my kids – no one is paying me to be a dad.

What Does a Spoofed Email Look Like?

Last week, Dave blogged about the email sent from a SEC attorney’s email account – even though she didn’t send the email (otherwise known as “spoofing”). As this episode illustrates, this fraudulent act isn’t like someone stealing your credit card. Spoofing is more than a mere hassle, it can injure your reputation even if uncovered. Here is a copy of the spoofed email so you can see how crazy it was.

I rehash this incident because spoofing isn’t limited to email, it now happens on Twitter and other new mediums. Companies need to be monitoring these new forms of media and not just stick their heads in the sand because they are new…

I play a lot of “old man” hoops (and I’m not that shabby), so I was excited to see this ESPN article about how President Obama has shaken up the love for basketball in the DC area.

– Broc Romanek