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insider trading
Loose lips, loose morals, and outdated disclosure practices
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 [...]
SEC's new guidance for websites and blogs posted
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 [...]
Top tech blog exposes scam at IPO firm
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 [...]
Build better insider filings pages with free feeds
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 [...]
When regulators are dunces
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 [...]
The gray area of "big-boy letters"
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 [...]
A riveting Friday read courtesy of the SEC
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 [...]
Canada world's insider trading capital, study
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 [...]
After "insider trading week," beware the patsies
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 [...]
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