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insider trading

Loose lips, loose morals, and outdated disclosure practices

By Dominic Jones on October 22, 2009

I’M A little bemused by the IR establishment’s response to the sensational allegations in the insider trading case against Galleon Management and a host of corporate executives and one IR consultant.
NIRI CEO Jeff Morgan’s immediate response was to publish the following in a Tweet: “Following Galleon & is another reminder to NIRI members & all [...]

Posted in Investor Relations Blog | Tagged Galleon, insider trading, Investor Relations, regulation fd | 2 Responses

SEC's new guidance for websites and blogs posted

By Dominic Jones on August 2, 2008

THE US Securities and Exchange Commission (SEC) has published its 47-page interpretive release that explains how companies can use their websites and blogs to meet its requirements for public disclosure under Regulation FD.
Here’s a Scribd version of the complete release, which can also be downloaded in PDF from the SEC’s website. See my initial comments [...]

Posted in Investor Relations Blog | Tagged annual reports, blog, blogs, business, Compensation, corporate governance, disclosure, disclosure documents, earnings, EDGAR, electronic delivery, feedback, feeds, finance, financial information, financial reporting, forums, insider trading, Internet, Investor Relations, investor relations website, IR websites, law, management, market participants, new york stock exchange, newswires, nyse, proxy statement, quarterly reports, rss, SEC, securities, securities act, securities and exchange commission, strategy, technology, usability, XBRL, XML | 8 Responses

Top tech blog exposes scam at IPO firm

By Dominic Jones on May 30, 2008

TECHCRUNCH, a leading technology blog that boasts more than 3 million readers, has accused a company that is currently preparing an IPO of funding its growth by running a scam that gets people to unknowingly bill small recurring payments to their credit cards.
The company, Intelius, is run by Naveen Jain who left his former company [...]

Posted in Investor Relations Blog | Tagged blog, bloggers, blogs, business, Chairman Chris Cox, cowen and company, David Phillips, deutsche bank securities, insider trading, Investor Relations, Jeff Matthews, Michael Arrington, nasdaq, Naveen Jain, SEC, securities and exchange commission, techcrunch, technology, ubs investment bank | 1 Response

Build better insider filings pages with free feeds

By Dominic Jones on April 9, 2008

WHEN it comes to disclosing insider trading on their investor relations websites, companies’ practices vary widely. Most firms give the information little thought, while a few go out of their way to make the information easy for investors to access and digest.
But with the Securities and Exchange Commission (SEC) recently adding free XML-based news feeds [...]

Posted in Investor Relations Blog | Tagged EDGAR, feeds, insider trading, Investor Relations, rss, SEC filings | 2 Responses

When regulators are dunces

By Dominic Jones on June 26, 2007

By Dominic Jones
LONG-TIME readers will know I dislike most regulatory filings databases because they lack the basic usability needed for the public to actually use them.
The best of breed right now is the U.S. Securities and Exchange Commission’s Edgar database, but even the SEC thinks it could be better. It is spending around $50 million [...]

Posted in Investor Relations Blog | Tagged disclosure, EDGAR, insider trading, IR websites, SEC, securities, shareholder.com, usability | Leave a response

The gray area of "big-boy letters"

By Dominic Jones on May 22, 2007

By Dominic Jones
FOR those of you who appreciate the nuances of insider trading and other securities laws, the following question will probably give you goosebumps:
Does the the buyer of securities sold via a big-boy letter have an obligation to inform the next buyer about the existence of the letter?
After reading this tremendous article in [...]

Posted in Investor Relations Blog | Tagged business, insider trading, law, rss, SEC, securities, the Times | 1 Response

A riveting Friday read courtesy of the SEC

By Dominic Jones on May 4, 2007

By Dominic Jones
IF YOU’RE a fan of crime and spy novels like I am, you’ll love the Securities and Exchange Commission’s news release and subsequent media coverage about yesterday’s bust in the TXU insider-trading case.
The full release is here, but I’m reproducing some highlights below:
The Securities and Exchange Commission today charged Hafiz Naseem, an investment [...]

Posted in Investor Relations Blog | Tagged Associated Press, Bloomberg, business, compliance, Duke University, Duke University in Durham, Federal Bureau of Investigation, Financial Services Authority, Fort Worth, Fort Worth Regional Office, Hafiz Naseem, insider trading, James Cox, jp morgan, Katherine S. Addleman, Kohlberg Kravis Roberts & Co., law, LinkedIn, m&a, New York, Pakistan, Rye Brook, SEC, securities, securities and exchange commission, social networking sites, Stephen Korotash, surveillance, Texas, Texas Pacific Group, TXU Corp., U.S. Securities and Exchange Commission | Leave a response

Noteworthy list #17

By Dominic Jones on March 26, 2007

Notable excerpts and links to articles and reports we’ve found worthwhile reading. Though we try to avoid them, some links may be intercepted by ads or may require free log-ins. Please don’t blame us for this.
IR News
National Investor Relations Institute Elects New Board Chairman and Four Directors
The National Investor Relations Institute (NIRI) announced today the [...]

Posted in Investor Relations Blog | Tagged Adobe, Barney Frank, Biz Stone, communications, Credit Suisse Group, Darden Restaurants Inc., disclosure, Financial Services Authority, goldman sachs, Google, House Committee on Financial Services, insider trading, Internet, Investor Relations, law, London, Massachusetts, Matthew V. Stroud, Maureen Wolff-Reid, media outlets, Merrill, microsoft, national investor relations institute, NIRI, NIRI Board of Directors, Orlando, PDF, rss, search function, SEC, Sharon Merrill Associates Inc., Sharon Merrill Associates Inc. Merrill Restricts Research Access, Suspicious, technology, TELLABS Inc., TIAA-CREF, twitter, Volkswagen, Web browser, web traffic | Leave a response

Canada world's insider trading capital, study

By Dominic Jones on March 22, 2007

HEY, everyone has to be good at something, right? Here at IR Web Report, we’re good at snide remarks about regulators and investor relations practices.
And Canada? Well, according to a study commissioned by Bloomberg News, it has a prescient knack for buying stocks in companies that are about to be acquired.
Looking at 52 Canadian [...]

Posted in Investor Relations Blog | Tagged Bloomberg, disclosure, Financial Services Authority, insider trading, Investor Relations, London, Measuredmarkets Inc., SEC, securities, stocks | Leave a response

After "insider trading week," beware the patsies

By Dominic Jones on March 4, 2007

By Dominic Jones
“ARE (ordinary investors) being played for patsies in this system? Are there really just two tiers, and the insiders are always favored?”
That question by NewsHour correspondent Maragaret Warner to Columbia Law School professor John Coffee on PBS on Friday night (MP3, 4.0 MB) encapsulates a view many Main Street investors are likely [...]

Posted in Investor Relations Blog | Tagged business, Columbia Law School, disclosure, insider trading, Investor Relations, IR websites, law, less-active retail shareholders, management, Maragaret Warner, nasdaq, nasdaq stock market inc, privacy, public relations, retail investors, rss, SEC, securities, shareholder.com, stocks, TXU, U.S. Securities and Exchange Commission, web privacy rules, web technologies, website tracking systems | 1 Response

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