The Corporate Counsel, Vol XXIII: 1998

November-December 1998 [PDF]

• The APB 25 Interpretations--Already in Effect? (CC Nov-Dec 98)
• Proxy Season Items (CC Nov-Dec 98)
• More on Rule 14a-4 and Advance Notice Bylaw Provisions (CC Nov-Dec 98)
• Status of New NYSE Proposal on Shareholder Approval of Stock Plans (CC Nov-Dec 98)
• NYSE Position on Shareholder Approval of Material Plan Amendments (CC Nov-Dec 98)
• The NASD's Shareholder Approval Approach (CC Nov-Dec 98)
• Staff Reviewing All Prospectuses for Plain English Compliance (CC Nov-Dec 98)
• NASPP Straw Poll--What Others are Doing (CC Nov-Dec 98)
• Aircraft Carrier Comment Period (CC Nov-Dec 98)
• Law Firm Memoranda (CC Nov-Dec 98)
• More on the Staff's No New Holding Period Position on Net Exercises of Warrants (CC Nov-Dec 98)
• Section 3(a)(10) Fairness Hearings Are Back (CC Nov-Dec 98)
• Current Board Practices Survey (CC Nov-Dec 98)
• S-8, 701 and 504 Changes Targeted for First Quarter (CC Nov-Dec 98)
• Federal Register Website (CC Nov-Dec 98)

September-October 1998 [PDF]

• Rule 144--Selling Without Telling (CC Sep-Oct 98)
• Aircraft Carrier Proposals (CC Sep-Oct 98)
• NYSE Modifies (and Clarifies) Its Shareholder Approval Requirement for Stock Plans (CC Sep-Oct 98)
• The Plain English Rule--Staff Issues SLAB (CC Sep-Oct 98)
• Staff Confirms That No New Holding Period For Net Exercise of Warrants--A Way To Avoid Registration (CC Sep-Oct 98)
• Naming Selling Shareholders--Follow-Up (CC Sep-Oct 98)
• Deregistration of Form S-3 Shares (CC Sep-Oct 98)
• More on Rule 14a-4 and Advance Notice Bylaw Provisions (CC Sep-Oct 98)
• Stock-For-Stock Exercises and Crafting Form 4 (CC Sep-Oct 98)
• Reg D--Paying the Purchaser Representative's Fee: NSMIA Impact (CC Sep-Oct 98)
• Folding a Non-Shareholder-Approved Plan Into the Next Approved Plan (CC Sep-Oct 98)
• A Few Plan Drafting Items From The NASPP Stock Plan Survey (CC Sep-Oct 98)

July-August 1998 [PDF]

• Model Plan of Distribution Language for S-3 Resales--An Update (CC Jul-Aug 98)
• Delay Responding to 1933 Act Registration Demand Costs Company $2.4 Million (CC Jul-Aug 98)
• Late Filing of the Financial Statements of an Acquired Business (CC Jul-Aug 98)
• Rule 12b-25 Extension of 10-Q and 10-K Filings--Availability of Form S-3 and Rule 144 (CC Jul-Aug 98)
• Foreign Private Issuers--1934 Act Reporting Requirements (CC Jul-Aug 98)
• Requirement to File Copies of SEC Filings with Exchanges Eliminated (CC Jul-Aug 98)
• The NYSE's Definition of Officer (CC Jul-Aug 98)
• Rule 14a-4 and Advance Notice By-Law Provisions--A Clarification (CC Jul-Aug 98)

May-June 1998 [PDF]

• Shareholder Proposal Changes Adopted (Don't Overlook 10-Q Disclosure) (CC May-Jun 98)
• Rule 504 Proposal--Resale Restrictions (CC May-Jun 98)
• Reload Update (CC May-Jun 98)
• NYSE Requests Comments on Shareholder Approval Requirements for Broad-Based Stock Option Plans (CC May-Jun 98)
• Reader Question: When Must An S-8 Be Effective for §423 ESPPs (CC May-Jun 98)
• Recusal/Subcommittee Approach Now Works for §162(m) Purposes As Well (CC May-Jun 98)
• The Section 162(m) IPO Grace Period--Some Traps (CC May-Jun 98)
• Restating Financial Data Schedules to Reflect Comparison Periods Consistent With FAS 128--When? (CC May-Jun 98)
• Rule 506--Pre-emption of California Merger Exemption (CC May-Jun 98)
• FreeEDGAR.com (CC May-Jun 98)
• Broker Non-Vote Proxy Disclosure--Carl Schneider's Take (CC May-Jun 98)
• Special Supplement: Broker Non-Votes and Abstentions--An Analysis of Legal Issues (CC May-Jun 98)

March-April 1998 [PDF]

• IRS Pours Some Cold Water on Transferable Options (CC Mar-Apr 98)
• The Proposed Rule 701 Amendments (CC Mar-Apr 98)
• Status of Rule 504 (CC Mar-Apr 98)
• More on the New Passive Investor Category for Schedule 13G (CC Mar-Apr 98)
• SEC Adopts Procedures for Applying for 1934 Act Exemptive Relief (CC Mar-Apr 98)
• California's NSMIA Conforming Provisions (CC Mar-Apr 98)
• Section 3(a)(10) Update (CC Mar-Apr 98)
• Registering Rule 701 Options on Form S-8 (CC Mar-Apr 98)
• Requirement to File Restated Financial Data Schedule (CC Mar-Apr 98)
• Reminder: Availability of S-3 for Secondary Offerings--Securities Must be Listed or Nasdaq (CC Mar-Apr 98)
• Issuers' 1934 Act File Numbers (CC Mar-Apr 98)
• Obtaining Enforcement and Litigation Releases from the SEC Web Site (CC Mar-Apr 98)
• Searching Others' Press Releases (CC Mar-Apr 98)
• Thumbing through the Electronic Telephone Interpretations Manual (CC Mar-Apr 98)
• NYSE Adopts Rule Change Codifying Favorable Shareholder Approval Policy for Stock Plans (CC Mar-Apr 98)

January-February 1998 [PDF]

• The Regulation S Amendments (CC Jan-Feb 98)
• The S-8 Proposals (CC Jan-Feb 98)
• The Rule 15c211 Proposals (CC Jan-Feb 98)
• Rule 504 Fixes Forthcoming (CC Jan-Feb 98)
• The Recent 13D and 13G Amendments (CC Jan-Feb 98)
• The NYSE’s Stock Plan Shareholder Approval Requirement--Determining the Necessary Majority Vote Where There are Abstentions and Broker Non-votes(CC Jan-Feb 98)
• The Continuing Offer Concept--1933 Act Problems (CC Jan-Feb 98)
• Miranda Warnings (CC Jan-Feb 98)
• Specifying Particular Forward-Looking Statements in the MD&A Error! Main Document Only. (CC Jan-Feb 98)
• A Few Thoughts on the Plain English Rules Adoption (CC Jan-Feb 98)
• Approving a Merger by Written Consent without a Meeting--A Real Life Example (CC Jan-Feb 98)
• Options Assumed in Mergers--Accounting Treatment (CC Jan-Feb 98)
• Nasdaq No Longer Requires Copies of EDGAR-Filed Documents (CC Jan-Feb 98)