December 4, 2013

Calling All Controlled Companies! Your Own E-Mail Listserv

To facilitate conversations and help answer your questions, I’m excited to announce that we have launched a number of new email listservs that have an easy-to-use online “subscribe/unsubscribe” functionality. We built this tool in-house and I believe it’s superior to what others do for their listservs.These FAQs clarify how to use our listservs – but there are four easy steps:

1. Input your email address
2. Input your name
3. Choose the listservs you want to join
4. Click “Subscribe” button

You can unsubscribe at any time by following the first three steps above – and then click the “Unsubscribe” button as your 4th step. Here are instructions on how to email your listserv once you join a group.

The first four listserv groups I have created are: Reg D; Controlled Companies; Treasury Support; and Cool Technology. Email me if there are other topics that you think deserve their own listserv…

Update: Nasdaq’s Compensation Committee Certification

After my blog got pushed out yesterday morning, I tweaked it to note that the form of certification that I linked to was merely just a preview of what Nasdaq will require. Nasdaq expects to release the final form in early January, which will be changed somewhat from the preview to accommodate the proposals that the Nasdaq filed last week, etc.

Also note that listed companies will not file a paper certification with Nasdaq – but rather will certify electronically through Nasdaq’s “Listing Center” website, similar to the process companies (and applicants) use to submit listing applications and forms such as this one

Fixing the Securities Laws: Removing Obstacles to Recognizing LGBT Partnerships

In the SEC’s rules & forms, by only referring to spouses – which is defined to mean only married couples – the securities laws disqualifies couples in civil unions or domestic partnerships in 15 states across the country. Learn more in this article on TechCrunch entitled “Remove Restrictions on Gay Investors.”

More on “The Mentor Blog”

We continue to post new items daily on our blog – “The Mentor Blog” – for members. Members can sign up to get that blog pushed out to them via email whenever there is a new entry by simply inputting their email address on the left side of that blog. Here are some of the latest entries:

– Your Guide to Purchases by Directors in an IPO
– Sixth Circuit Upholds “Big Boy” Agreement to Bar Fraud Claim
– Expanded Role for Corp Fin in Monitoring Violations of Iran Sanctions?
– Dodd-Frank: Anti-Retaliation Provisions Don’t Protect Overseas Whistleblower
– DTC’s White Paper Proposes Changes to Reverse Trading Chills

– Broc Romanek