The Corporate Counsel, Vol XXII: 1997

November-December 1997

• Drafting Stock Plans--Part 2 (CC Nov-Dec 97)
• The Growing Practice of Filing Press Releases on Form 8-K (CC Nov-Dec 97)
• Rule 144--Increasing the Number of Shares to be Sold Where Trading Volume Has Decreased (CC Nov-Dec 97)
• Calculating the Rule 144 Amount Limit When There is a Stock Split (CC Nov-Dec 97)
• Two Classes of Common Stock Not Combined for Rule 144 1% Test (CC Nov-Dec 97)
• Staff Affirms Donee of Rule 145 Stock Stands in Shoes of Donor (CC Nov-Dec 97)
• Transferring Unused Shares (and Fees) to New S-3 -- Staff Clarifies That De-Registering Old Shares Only Necessary for S-8s (CC Nov-Dec 97)
• Staff Again Allows Physicians to Qualify as Rule 701 Consultants (CC Nov-Dec 97)
• Some 1933 Act Filing Statistics (CC Nov-Dec 97)
• Float Now Includes Non-voting Common Equity (CC Nov-Dec 97)
• The 1933 Act "Aircraft Carrier" Project (CC Nov-Dec 97)
• Legislation to Pre-empt State Securities Fraud Laws (CC Nov-Dec 97)
• The Stanford Web Site (CC Nov-Dec 97)
• The Chief Counsel's Office Direct Callback Number (CC Nov-Dec 97)
• Nasdaq SmallCap Corporate Governance Requirements Adopted (CC Nov-Dec 97)
• The §423 Employee Stock Purchase Plan $25,000 Limit--A Correction (CC Nov-Dec 97)
• 1998 Law Department Salary Survey (CC Nov-Dec 97)
• Appendix: 1997 Survey of Corporate Law Department Salaries (CC Nov-Dec 97)

September-October

• Drafting Stock Plans (CC Sep-Oct 97)
• Application of Rule 144 to Sales of Shares Gifted by Affiliates to Family Trusts, Charitable Trusts and Private Foundations (CC Sep-Oct 97)
• Staff Says New Rule 144 Holding Period Not Created by Bank's Actual Foreclosure of Securities Pledged by Affiliate (CC Sep-Oct 97)
• A Rule 504 Caution (CC Sep-Oct 97)
• Staff Issues §3(a)(10) Interpretive Letter to Bank Affirming NSMIA Carve-Out (CC Sep-Oct 97)
• Spin-offs--SLAB No. 4 (CC Sep-Oct 97)
• SLAB No. 5--Year 2000 Disclosures (CC Sep-Oct 97)
• New Nasdaq Listing Requirements (CC Sep-Oct 97)
• The Phase Two Disclosure Simplifications (CC Sep-Oct 97)
• Chief Counsel's Office Inside Call-Back Number (CC Sep-Oct 97)
• E-Mail Your Interpretive Letter Requests (CC Sep-Oct 97)
• Deferred Compensation (CC Sep-Oct 97)
• Form S-8 Fixes Reminder (CC Sep-Oct 97)

July-August 1997

• Staff Issues Favorable S-3 Transferable Option Positions (CC Jul-Aug 97)
• A Few Open Items For The Staff--Our Current Wish List (CC Jul-Aug 97)
• Stock Option Gain Deferrals--FASB Says Deferrals That Permit Diversification Will Trigger Variable Accounting (CC Jul-Aug 97)
• Staff Issues §3(a)(10) SLAB Affirming NSMIA Pre-Emption (CC Jul-Aug 97)
• Registering Deferred Compensation--Update (CC Jul-Aug 97)
• Acquisition and Disposition of Shares in a Merger--Section 16 Approaches (CC Jul-Aug 97)
• S-K Item 405 (CC Jul-Aug 97)
• S-K Item 404 (CC Jul-Aug 97)
• Item 10 of Schedule 14A (CC Jul-Aug 97)
• Option Grant Disclosure--Transferable Options (CC Jul-Aug 97)
• Sales of Company Shares in a Rabbi Trust (CC Jul-Aug 97)
• Rule 701 Developments (CC Jul-Aug 97)
• Regulation S-B Anomaly (CC Jul-Aug 97)
• 1933 and 1934 Act Text Rules and Forms Available On-Line (CC Jul-Aug 97)
• Staff Issues Revised Telephone Interpretations Manual (CC Jul-Aug 97)

May-June 1997 [PDF]

• Deferred Compensation Plans (CC May-Jun 97)
• Some Additional Thoughts on the Rule 430A, Rule 144 and Reg S Pending Changes (CC May-Jun 97)
• Transferable Options--Staff Guidance (CC May-Jun 97)
• Staff Confirms That Filing of S-8 Registration Statement and Prospectus Delivery Can Be Delayed Until Just Prior to Exercise (CC May-Jun 97)
• S-8 Abuses (CC May-Jun 97)
• Removing Legends from Affiliates' 144(k) Shares (CC May-Jun 97)
• Removing Rule 145 Legends(CC May-Jun 97)
• Plan Amendments -- Shareholder Approval Provision (CC May-Jun 97)
• Rule 506 under NSMIA--Standardizing Blue Sky Practice (CC May-Jun 97)
• E-Mail Your No-action Letter Requests (CC May-Jun 97)

March-April 1997 [PDF]

• More On The Rule 144 (and Reg S and 430A) Proposals (CC Mar-Apr 97)
• The Rule 144 Proposal To Eliminate The Manner of Sale Requirement (CC Mar-Apr 97)
• Hedging Transactions (CC Mar-Apr 97)
• Staff Takes Favorable Position Facilitating Electronic Road Shows (CC Mar-Apr 97)
• Writing Call Options Against Restricted Securities (CC Mar-Apr 97)
• Sales By Donees And Pledgees Under Donor/Pledgor’s S-3 (CC Mar-Apr 97)
• Adding Selling Shareholders To A Shelf Registration Statement (CC Mar-Apr 97)
• More NSManIA--New York’s Issuer-Dealer Position (CC Mar-Apr 97)
• The Proxy Screening Process: Counting To Ten (CC Mar-Apr 97)
• Staff Legal Bulletins (SLABs) (CC Mar-Apr 97)
• Law Department Salary Survey Correction (CC Mar-Apr 97)
• Universal Shelf--Filing Exhibits Via Form 8-K (CC Mar-Apr 97)
• Section 16 Update (CC Mar-Apr 97)
• Plan Shareholder Approval--Information Regarding The Company’s Other Plans--A Correction (CC Mar-Apr 97)

January-February 1997 [PDF]

• The New Rule 144 Holding Periods (CC Jan-Feb 97)
• The New Rule 144 Proposals (CC Jan-Feb 97)
• Our Form 144 Proposal (CC Jan-Feb 97)
• The Reg S Proposals (CC Jan-Feb 97)
• The Rule 430A Proposals—A Back Door Primary Shelf for Unseasoned Issuers (CC Jan-Feb 97)
• Comment Periods (CC Jan-Feb 97)
• The S3 Universal Shelf (CC Jan-Feb 97)
• SEC Telephone Interpretations Manual (CC Jan-Feb 97)
• Some Clarifications From Our Last Issue (CC Jan-Feb 97)
• Shareholder Proposal Developments (CC Jan-Feb 97)
• Dividend Reinvestment/Stock Purchase Plans (DRSPPs) Liberalized Under New Reg M (CC Jan-Feb 97)