September 24, 2013

Today: “Say-on-Pay Workshop: 10th Annual Executive Compensation Conference”

Today is the “Say-on-Pay Workshop: 10th Annual Executive Compensation Conference”; yesterday was the “Annual Proxy Disclosure Conference” – and the video archive of that Conference is already posted. 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 Flash Player). Here are the “Course Materials,” filled with talking points and practice pointers.

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 Eastern.

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.

SEC’s Portal: Voluntary Submission of General Solicitation Materials Used in Rule 506(c) Offerings

Yesterday, the SEC created this “voluntary submission” portal for general solicitation materials used in Rule 506(c) offerings. There is also a bold-faced paragraph for folks to submit tips & complaints to report possible violations of the federal securities laws…

SEC’s Office of Investor Education Issues Two Reg D Alerts

Yesterday, the SEC’s Office of Investor Education issued these two Reg D alerts:

Investor Alert: General Solicitation

Investor Alert: “Accredited Investor” Definition

Betting on the Weather

A while back, I tweeted about how I wish we could all bet on the weather. I was quickly schooled by a member who pointed out that there is a huge weather derivatives industry. Maybe this is why we have global warming? Someone is manipulating the weather with ray guns…

More on what is wrong with some parts of the legal profession. See this order regarding a “baby continuance”…

– Broc Romanek