The Corporate Counsel, Vol. I: 1975-1976

November-December 1976

• The S-16 Registration Statement (CC Nov-Dec 76)
• SEC Adopts Amendments to Form S-8 Registration Statement for Stock Options (CC Nov-Dec 76)
• Resales of Option Stock by Control Persons (CC Nov-Dec 76)
• SEC Reverses Position on Unregistered Securities (CC Nov-Dec 76)
• Exxon Officers and Directors Win Short-Swing Profit Case (CC Nov-Dec 76)
• SEC Staff Partially Reverses Itself on Contingent Issuance of Shares (CC Nov-Dec 76)
• Gifts of 144 Stock (CC Nov-Dec 76)
• A Few Timely Reminders (CC Nov-Dec 76)

September-October 1976

• Legends (CC Sept-Oct 76)
• New Rule 144 Letter Gives Seller Benefit Where Volume Drops After 90-Day Period (CC Sept-Oct 76)
• SEC Arrives at Consistent Resale Restrictions on Control Persons of Acquired Companies (CC Sept-Oct 76)
• Rule 155 Alive and Kicking (CC Sept-Oct 76)
• Sale of Call Options Cannot Be Accomplished if Underlying Stock is Subject to Rule 144 or 145 (CC Sept-Oct 76)
• SEC Issues Very Favorable Interpretive Letter to Bank as Pledgee (CC Sept-Oct 76)
• SEC's New Proposals to Amend Forms S-7 and S-16 (CC Sept-Oct 76)

July-August 1976

• Have You Really Been Selling As Much Stock as Rule 144 Will Allow? (CC July-Aug 76)
• SEC Proposes New Amendments to Form S-8 (CC July-Aug 76)
• New Problems for Counsel - Resales of Option Stock by Affiliates (CC July-Aug 76)
• SEC Decides Not to Impose Volume Limitation on 144 Sales of OTC Stock - More Changes Coming? (CC July-Aug 76)
• SEC Says "No, You Cannot File Form 144" (CC July-Aug 76)
• SEC Takes Hard Line on Price Guarantee Provision (CC July-Aug 76)
• Recent Case Deals with Application of SEC Rule 10b-6 (CC July-Aug 76)
• A Few More Nails Driven In Fungibility Coffin (CC July-Aug 76)
• Even More Revisions to Come to Form S-16 (CC July-Aug 76)

May 1976

• Application of Short Swing Profit Rule to Exercise of Employee Stock Options (CC May 76)
• Application of Rule 144 to Sale of Option Stock Non-Control Persons (CC May 76)
• Stock Appreciation Rights - SEC Proposes Exemptions to 16(b) (CC May 76)
• SEC Relaxes Position on Resale of OTC Option Stock by Control Persons (CC May 76)
• Recent Interpretive Letters Indicate Fungibility May Be Dying (CC May 76)
• Bank Which Received Restricted Securities as Collateral Post-April 15, 1972 Granted No-Action Letter (CC May 76)

March 1976

• Who is a Control Person? (CC March 76)
• Recent No-Action Letters Issued Permitting Private, Solicited Sales of Securities under 4(1) Exemption (CC March 76)
• Shares Received After April 15, 1972 May be Said Outside of Rule 144 (CC March 76)
• Exchange Funds - "Diversification without Taxation" (CC March 76)
• Recent Significant Letter Involving S-16 Registration Statements (CC March 76)
• S-16 and S-17 Registration Statements - New Availability and Uses Still Overlooked by Many (CC March 76)
• New SEC Letter on Availability of Form S-16 (CC March 76)
• Writing Call Options (CC March 76)
• New Composite Tape Brings Unexpected Bonus to the Rule 144 Amount Limitations (CC March 76)

January 1976

• Control Persons (CC Jan 76)
• Recent No-Action Letters Permitting Sales Outside of Rule 144 (CC Jan 76)
• What is a No-Action Letter? Should I Get One? How do I Get One? (CC Jan 76)
• SEC Overrules Jaffee Case - Opening Door for OT Shelf Registration (CC Jan 76)
• Shares Received by Brokers as Underwriting Compensation - SEC has Reversed its Position (CC Jan-76)
• New SEC Interpretive Letter Covering Application of Rule 144 to Gifts (CC Jan 76)
• Status of Proposed Amendments to Rule 144 (CC Jan 76)

November 1975

• Gifts of Securities Subject to Rule 144 (CC Nov 75)
• Short-Swing Profit Rule... A $208,000 Mistake (CC Nov 75)
• SEC Proposes Amendments to Rule 144 (CC Nov 75)
• SEC Relaxes Requirements for Use of S-16 and S-7 Registration Statements (CC Nov 75)
• Recent SEC Staff Interpretation of Rule 144 (CC Nov 75)