The Corporate Counsel, Vol. XIV: 1989

November-December 1989

• Restricted Stock Plans: Uses and Abuses (CC Nov-Dec 89)
• Staff Issues Intriguing Rule 701 Interpretation Covering Grants (CC Nov-Dec 89)
• Rule 701's Written Plan or Agreement Requirement Satisfied After-the-Fact (CC Nov-Dec 89)
• Public Company Allowed to Assume Rule 701 Options Granted by Acquired Company Without Registration (CC Nov-Dec 89)
• Staff Issues Rule 144 Holding Period Guidance on Securities Issued for Services Rendered (CC Nov-Dec 89)
• Thrift, Savings and 401(k) Plans (CC Nov-Dec 89)
• Stock Options - How Soon Will Exercises (and Grants) Be Exempt? (CC Nov-Dec 89)
• A Hidden Rule 16b-3 Trap - Option Grants (CC Nov-Dec 89)
• Reporting Prior Years' Failures to File (CC Nov-Dec 89)
• S-8 Status Report (CC Nov-Dec 89)
• IPO's - Don't Overlook Form 3 Filings (CC Nov-Dec 89)
• The 135 Day Financial Statement Rule (CC Nov-Dec 89)

September-October 1989

• Preparing for the Section 16 Rule Changes (CC Sept-Oct 89)
• IRS Taking Hands-Off Position on Discounted Stock Options (CC Sept-Oct 89)
• Staff Adhering to New Hardline 16b-3 Position on Discounted Stock Option Plans (CC Sept-Oct 89)
• Staff Takes No-Registration/No-Restricted Securities Position for Stock Grants In Lieu of Directors' Fees (CC Sept-Oct 89)
• Staff Says Rule 701 Extends to Non-Employee Insurance Agents (CC Sept-Oct 89)
• The S-8 and Rule 16b-3 Non-Transferable Requirement (CC Sept-Oct 89)
• Staff Once Again Frees Up All Shares Issued in 3(a)(10) Transaction (CC Sept-Oct 89)
• Holding Period for Shares in Rabbi Trusts Commences With Acquisition of Shares by the Trust (CC Sept-Oct 89)
• Acting in Concert Under Rule 144 (CC Sept-Oct 89)
• California NASDAQ/NMS Exemption Finally in Effect (CC Sept-Oct 89)

July-August 1989

• The Section 16 Reproposals (Be Prepared for a January Adoption) (CC July-Aug 89)
• Staff Revisits Omnibus Stock Plan 16b-3 Position (CC July-Aug 89)
• Staff Nit-picks its 16b-3 Position on Maximum Price for Sales of Bonus Stock Under Cheap Plans (CC July-Aug 89)
• 16(b) Plaintiffs' Lawyer Gets No Fee (CC July-Aug 89)
• The S-8 Proposals - A Few More Comments (CC July-Aug 89)
• Brokers' Rule 701 Resale Compliance Procedures (CC July-Aug 89)
• Staff Clarifies Rule 144 Holding Period for Shares Issued to Pay Off Trade Creditors (CC July-Aug 89)
• Escheat and Abandoned Property Laws Survey (CC July-Aug 89)

May-June 1989

• The S-8 Proposals (CC May-June 89)
• Sales By Former Affiliates - No Need for Rule 144(k) 90-Day Wait (CC May-June 89)
• Delays in Clearing Rule 144 Sales (CC May-June 89)
• Delays in Receiving Sale Proceeds - Legends (CC May-June 89)
• Private Placement Increases Outstanding Stock of Issuer (CC May-June 89)
• Staff Clarifies Response on S-8 Availability After Retirement (CC May-June 89)
• Staff Permits Issuer to Extend Life of Plan (CC May-June 89)
• Discounted Stock Options - Directors May Only Make One Irrevocable Lifetime Election (CC May-June 89)
• Staff Throws 16b-3 Into Omnibus Stock Plans (CC May-June 89)
• Do Non-compete Forfeiture Provisions Toll the Rule 144 Holding Period? (CC May-June 89)
• The Section 16 Proposals (CC May-June 89)

March-April 1989

• Reload Stock Options (CC Mar-April 89)
• Staff Reverses Boulevard Bancorp - S-8 Again Available for Exercises by Former Employees (CC Mar-April 89)
• Adjusting Stock Options After Spin-Off or Restructuring Does Not Require Shareholder Approval (CC Mar-April 89)
• Staff Says Extending Option Term from Five to Ten Years Requires Shareholder Approval (CC Mar-April 89)
• Staff Okays Reduction of Benefit Plan Eligibility Requirement from Two Years to One (CC Mar-April 89)
• Staff Refuses 16(b) SAR Safe Harbor for SDRs (CC Mar-April 89)
• Immaculate Cashless Exercises - Need for a Window Period ? (CC Mar-April 89)
• New NASDAQ/NMS Listing and Corporate Governance Requirements in Effect (CC Mar-April 89)
• New 13D and 13G Beneficial Ownership Proposals (CC Mar-April 89)
• SEC Adopts "I and I" Good Faith Reg D Defense (CC Mar-April 89)
• Staff Clarifies Calculation of Record Holders (CC Mar-April 89)
• Staff Deftly Ducks Affiliate Question (CC Mar-April 89)
• "Change in Circumstances" Still Won't Work - Even Where Issuer Not Current (CC Mar-April 89)
• Staff Slams Door on Creative Solution to Unregistered Options (CC Mar-April 89)
• Use of Stock Withholding to Pay Tax Withholding Under the New Section 16 Proposals (CC Mar-April 89)
• Comments on the Section 16 Proposals (CC Mar-April 89)

January-February 1989

• Obtaining No-Action Letters and Interpretive Advice (CC Jan-Feb 89)
• Comments on the Section 16 Proposals (CC Jan-Feb 89)
• Status of the New California NASDAQ/NMS Exemption (CC Jan-Feb 89)
• Phantom Restricted Stock Units (CC Jan-Feb 89)
• The Rule 701 Amount Limit (CC Jan-Feb 89)
• 1989 Survey of Corporate Law Department Salaries (CC Jan-Feb 89)