November 1, 2011

Today: “Tackling Your 2012 Compensation Disclosures: The 6th Annual Proxy Disclosure Conference”

Today is the “Tackling Your 2012 Compensation Disclosures: The 6th Annual Proxy Disclosure Conference”; tomorrow is the “The Say-on-Pay Workshop: 8th Annual Executive Compensation Conference.” Note you can still register to watch online by using your credit card and getting an ID/pw kicked out automatically to you without having to interface with our staff. Both Conferences are paired together; two Conferences for the price of one.

How to Attend by Video Webcast: If you are registered to attend online, just go to the home page of or to watch it live or by archive (note that it will take about a day to post the video archives after it’s shown live). A prominent link called “Enter the Conference Here” on the home pages of those sites will take you directly to today’s Conference (and on the top of that Conference page, you will select a link matching the video player on your computer: Windows Media or Adobe Flash Player).

Remember to use the ID and password that you received for the Conferences (which may not be your normal ID/password for or If you are experiencing technical problems, follow these webcast troubleshooting tips. Here is today’s Conference Agenda; times are Pacific.

How to Earn CLE Online: Please read these FAQs about Earning CLE carefully to see if that is possible for you to earn CLE for watching online – and if so, how to accomplish that. Remember you will first need to input your bar number(s) and that you will need to click on the periodic “prompts” all throughout each Conference to earn credit. Both Conferences will be available for CLE credit in all states except for a few – but hours for each state vary; see the CLE list for each Conference in the FAQs.

The “FINRA Disciplinary Actions Database”

Recently, FINRA initiated a web-based searchable system called the “FINRA Disciplinary Actions Database” that makes its disciplinary actions accessible online. A long time coming, the documents appear to be posted shortly after issuance and each document has a link to other related documents, such as the complaint when you access an Offer of Settlement. This new database will make it much easier for litigation attorneys to search for relevant FINRA cases and obtain copies of the relevant documents.

Before this development, one would have to dig hard to find these documents. The two avenues were taking a look at FINRA’s monthly listing of disciplinary actions and then trying to obtain a hard copy from FINRA with a “per page” copying charge or subscription services that took the time to copy these documents and upload them, and they were still often incomplete. Thanks to Suzanne Rothwell for her insights!

Our November Eminders is Posted!

We have posted the November issue of our complimentary monthly email newsletter. Sign up today to receive it by simply inputting your email address!

– Broc Romanek