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Corporate & Securities Law

: The Corporate Counsel.net Blog

Action Items: Fall Issue of Compensation Standards Print Newsletter

By broc

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Action Items: Fall Issue of Compensation Standards Print Newsletter

With so many important action items impacting your proxy disclosures right now, you will want to read the Fall 2008 Issue of the Compensation Standards print newsletter that covers some key issues regarding proxy disclosures to consider now.

As a bonus, the issue includes a feature entitled “The Box” that provides an important “heads-up” regarding insiders’ margin accounts and a related D&O questionnaire pointer - which alone are examples of the invaluable, timely preventive guidance that this newsletter provides.

Since members of CompensationStandards.com get a free subscription to the Compensation Standards print newsletter, we have posted the Fall issue online. If you're not a member, try a '09 no-risk trial and get this issue rushed to you today.

And since all memberships are on a calendar-year basis, members should renew for '09 today to continue getting this guidance.

Smaller Company Governance

Man, I've never seen so many good people get laid off in our field. One of them is Steve Shapiro, who has been in-house counsel for four companies. I recently caught up with Steve in this podcast to learn the corporate governance challenges that smaller companies face, including:

- What are the particular challenges of being a GC/CS at a smaller company?
- What could be easier?
- What resources are helpful?
- Are there differences in dealing with other executives? Boards? Outside advisors like accountants and counselors?

FINRA Issues Guidance on Broker/Dealer Obligations regarding SPACs

Recently, FINRA issued Regulatory Notice 08-54, which provides guidance on the structure, trends and broker/dealer conflicts of interest associated with SPACs. The Notice discusses broker/dealer suitability and disclosure obligations in connection with a SPACs' IPO, after-market trading and any subsequent acquisitions. The Notice also refers to compliance with NASD Rule 2720, the NASD conflict-of-interest rule, in connection with an acquisition by a SPAC.

- Broc Romanek

Full post as published by The Corporate Counsel.net Blog on December 08, 2008 (boomark / email).