The Corporate Counsel, Vol XXIV: 1999

November-December 1999 [PDF]

• Charitable Stock Options (CC Nov-Dec 99)
• Staff Says Open Market Stock Purchase Plans Eligible for Rule 16b-3(c) Exemption (CC Nov-Dec 99)
• SEC and NASD Striking Out At Shells (CC Nov-Dec 99)
• Confusion Over Whether Rule 144 Applies to Charitable Remainder Trusts and Private Foundations (CC Nov-Dec 99)
• Friends and Family Shares--Update (CC Nov-Dec 99)
• Rule 153 Update (CC Nov-Dec 99)
• Staff Finally Issues Revised ß3(a)(10) SLAB (CC Nov-Dec 99)
• More on Rule 701 Transition (CC Nov-Dec 99)
• Covering Resales of 701 Stock in an S-8 (CC Nov-Dec 99)
• S-8 Tidbits (CC Nov-Dec 99)
• Don't File that Merger, etc. Proxy Statement on EDGAR! (CC Nov-Dec 99)
• Liquidation/Dissolution Proxy Statement Not Reviewed (CC Nov-Dec 99)
• Disclosure Dissemination (CC Nov-Dec 99)
• Proxy Statement S-K Item 402(a)(9) Disclaimers (CC Nov-Dec 99)
• Plain English 10-Ks (CC Nov-Dec 99)
• Underwriting Lock-Up Agreements (CC Nov-Dec 99)
• Computer Associates Highlights Importance of Careful Drafting of Plan Anti-Dilution Adjustment Provisions (CC Nov-Dec 99)
• Contacting the Staff--Update (CC Nov-Dec 99)
• Bajorek/IBM Appeal Denied on Forfeiture Provision (CC Nov-Dec 99)

September-October 1999 [PDF]

• Stock Option Non-Compete Forfeiture Provisions (CC Sep-Oct 99)
• Rule 701 Transition Guidance (CC Sep-Oct 99)
• Additional Rule 701 Clarifications (CC Sep-Oct 99)
• Resales of Rule 701 Stock Brokers' Compliance Procedures (CC Sep-Oct 99)
• Plain English Annual Proxy Statements (CC Sep-Oct 99)
• IPO "Friends And Family" Prospectus Problem (CC Sep-Oct 99)
• The SEC's Telephone Directory--Online (CC Sep-Oct 99)
• 10Kwizard.com (CC Sep-Oct 99)
• NYSE Shareholder Approval Update (CC Sep-Oct 99)

July-August 1999 [PDF]

• Today's Shell Game (CC Jul-Aug 99)
• Rule 144 Heads Up: Rule 144 Sales Must Cease During 90-Day Period Following Effectiveness of 1934 Act Registration Statement (CC Jul-Aug 99)
• Why Fewer Issuers are Distributing Interim Reports (CC Jul-Aug 99)
• The Analyst Conference Call--Evolving PSLRA Practices (CC Jul-Aug 99)
• S-8 For Consultant Employers? (CC Jul-Aug 99)
• Designated Directors--Section 16, Rule 144 and Other Issues (CC Jul-Aug 99)
• Staff Issues Rule 701 Transition Guidance (CC Jul-Aug 99)
• Anti-Dilution Provisions--A Novel Approach (CC Jul-Aug 99)
• Appendix: A New Approach to Antidilution Adjustments (CC Jul-Aug 99)

May-June 1999 [PDF]

• The S-8 Amendments (CC May-Jun 99)
• Rule 701--Transition Questions (CC May-Jun 99)
• Transferable Options Items (CC May-Jun 99)
• New NYSE Shareholder Approval Policy For Stock Option Plans Now In Effect (CC May-Jun 99)
• Plan of Distribution--Follow Up (CC May-Jun 99)
• Staff Issues Revised Plain English SLAB (CC May-Jun 99)
• Rule 144 Items (CC May-Jun 99)
• Staff Says Pledgee May Rely on Rule 701 (CC May-Jun 99)
• The First Post-IPO Form 10-Q (CC May-Jun 99)
• Reg D Rule 502(b)(2)--Audited Stub Period Financial Statements? (CC May-Jun 99)
• Intriguing Reverse Split Scenarios (CC May-Jun 99)
• Eliminating the S-8 Filing for Options Assumed in a Merger (Maybe) (CC May-Jun 99)
• New Staff Accounting Guidance (CC May-Jun 99)
• Aircraft Carrier Update--ABA Comment Letter Available on Regulation M-A Proposal (CC May-Jun 99)
• The APB 25 Interpretation Exposure Draft--Status (CC May-Jun 99)

March-April 1999 [PDF]

• The S-8 Amendments (CC Mar-Apr 99)
• The 701 Amendments (CC Mar-Apr 99)
• Rule 504 -- Obituary (CC Mar-Apr 99)
• Our Updated Limited Offering Comparison Chart (CC Mar-Apr 99)
• Staff Issues Supplement to Telephone Interpretations Manual (CC Mar-Apr 99)
• Staff Says Charitable Remainder Trust is Affiliate Subject to Rule 144 (CC Mar-Apr 99)
• Further 14a-4 Clarifications (CC Mar-Apr 99)
• Form 144--Staff Allows Blanket Power of Attorney Procedure (CC Mar-Apr 99)
• More NSM(an)IA--A PSLRA Effect (CC Mar-Apr 99)
• Aircraft Carrier Status (CC Mar-Apr 99)
• A Source for Staff Comment Letters (CC Mar-Apr 99)
• - Appendix [PDF]

January-February 1999 [PDF]

• Plain English -- Experiences With The Staff (CC Jan-Feb 99)
• SEC Adopts Amendments to Form S-8, Rule 701 and Rule 504 (CC Jan-Feb 99)
• Staff Takes Significant, Favorable Section 16 Merger Positions (CC Jan-Feb 99)
• Staff Issues Two §3(a)(10) No-Action Letters Covering Listed Securities (CC Jan-Feb 99)
• NYSE Shareholder Approval Update (CC Jan-Feb 99)
• Nasdaq Follow Up (CC Jan-Feb 99)
• Using Stock as Inducement to Buy Products or Visit Web Site—Staff Says No (Without Registration) (CC Jan-Feb 99)
• California Stock Plan Regulations Emerging From Dark Ages (CC Jan-Feb 99)
• The PSLRA Safe Harbor—IPOs (CC Jan-Feb 99)
• Practice Tip—Helpful IPO Web Site (CC Jan-Feb 99)
• APPENDIX (CC Jan-Feb 99)