This example was created for attorneys involved with:  

Section 16(a) Reporting 

CCH Federal Securities Law Reporter

Laws

• Section 16(a) (Non subscriber)
• Section 16(b) (Non subscriber)

Rules

• Rule 16a-1  
• Rule 16a-2
• Rule 16a-3
• Rule 16a-4
• Rule 16a-5
• Rule 16a-6
• Rule 16a-7
• Rule 16a-8  
• Rule 16a-9
• Rule 16a-10
• Rule 16a-11
• Rule 16a-12
• Rule 16a-13
• Rule 16b-1
• Rule 16b-3
• Rule 16b-5  
• Rule 16b-6
• Rule 16b-7
• Rule 16b-8

Forms

• Form 3 (Non subscriber)
• Form 4
• Form 5

Selected Releases

• Release No. 34-46421 (SEC 2002)
• Release No. 34-37260 (SEC 1996)
• Release No. 34-28869 (SEC 1991)
• Release No. 34-19756 (SEC 1983)
• Release No. 34-18114 (SEC 1981)
• Release No. 34-26062

Selected No-Action Letters

• Bell, Boyd & Lloyd (SEC 1991)

• Merrill Lynch & Co. (1992)

• Sullivan & Cromwell (SEC 1991) 

   

Selected Court Decisions

• Foremost-McKesson, Inc. v. Provident Securities Co. , Exchange Act (US Sup. Ct. 1976)  
• Colby v. Klune (2d Cir. 1949)

CCH Sarbanes-Oxley Act of 2002: Law & Explanation

Explanation

• Section 403  (Non subscriber)

Law Text

• Section 403 (Non subscriber)

Legislative History

• Senate Report  
• Congressional Record

CCH Corporate Secretary’s Guide

Overview:

• Background
• Forms 3, 4 and 5

Who are insiders?

• Insider as a group
• Directors as Insiders
• Officers as Insiders
• Principal Owners as Insiders

Initial Statement - Form 3

• In General

• Who Must File

• When to File

• Where to File

• Reporting Securities Information

• Holdings Required to be Reported

• Signature Rules

Changes in Ownership—Form 4

• In General

• Who Must File

• When to File

• Where to File

• Reporting Identifying Information

• Reporting Securities Transactions

• Signature Rules

CCH Corporate Secretary’s Guide (Cont.)

Annual Statement—Form 5

• In General

• Where to File

• Securities to be Reported

• Form 3 or Form 4 Items Not Previously Reported

• Signature Rules

Liability for Noncompliance With Section 16(a)

• In General

• Disclosure of Delinquent Filers 

• Criminal Liability 

• Injunctions 

• Private Actions 

• Extension of Section 16(b) Profit Recovery Period 

Exemptions

• Tax-Conditioned Plans 

• Discretionary Transactions 

• Grants and Awards 

• Dispositions to the Issuer 

• Mergers and Consolidations 

• Securities Distributions  

• Stock Splits, Dividends and Pro Rata Rights 

• Acquisitions by Redemption