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U.S. Securities and Exchange Commission
By Dominic Jones on September 23, 2009
PEOPLE like me have been promoting online annual report best practices for almost a decade now, but the message mostly isn’t getting through. According to the 2009 Nexxar online annual report survey, there has been a modest improvement in the number of companies that are providing at least some of their reports’ content in formats [...]
Posted in Articles | Tagged annual report, Investor Relations, online annual reports, Potash Corporation of Saskatchewan Inc., Tim Herrod, U.S. Securities and Exchange Commission, usability
By Dominic Jones on February 12, 2009
SINCE a few people have asked recently about the U.S. Securities and Exchange Commission’s (SEC) requirements for online annual reports and proxy statements, I thought I’d put them in this post for future reference. Although many aspects of the so-called e-Proxy rules are not being done well, I think the most overlooked aspect is the [...]
Posted in Articles | Tagged annual reports, image-based, Investor Relations, PDF, proxy statements, SEC, U.S. Securities and Exchange Commission
By Dominic Jones on February 11, 2009
BGC Partners, Inc. (NASDAQ: BGCP), a small-cap inter-dealer broker of financial instruments, is taking the bold step of using the notice-and-access approach with its next earnings release on February 26 — but I think they should reconsider. On Monday, the company issued a news release announcing the following: “In compliance with the U.S. Securities and [...]
Posted in Articles | Tagged disclosure, Investor Relations, newswires, notice-and-access, reuters, Robert MacMillan, SEC, technology, Thomson Reuters, U.S. Securities and Exchange Commission, web disclosure, wire services
By Dominic Jones on May 25, 2007
NEWS today that European Union privacy regulators are challenging giant Google Inc.’s privacy practices should be cause for alarm for companies that use Nasdaq Stock Market Inc.-owned Shareholder.com’s investor tracking tools on their websites. The EU regulators are concerned that Google’s tracking practices violate privacy protections in Europe. However, when you compare what Google is [...]
Posted in Articles | Tagged analyst, corporate websites, e-proxy, earnings, earnings calls, Europe, European Union, feeds, Google Inc., Investor Relations, IR websites, JPMorgan Chase & Co, law, nasdaq, nasdaq stock market inc, national investor relations institute, Netflix, NIRI, non-anonymous web tracking services, Palm Inc., privacy, QUALCOMM Inc., Questar, rss, SEC, SEC filings, securities, securities and exchange commission, shareholder.com, technology, The Western Union Co., U.S. Securities and Exchange Commission, VeriSign Inc., Zimmer Holdings
By Dominic Jones on May 25, 2007
By Dominic Jones NASDAQ Stock Market Inc. is bidding $3.67 billion for Sweden’s OMX AB, Europe’s sixth-largest stock exchange group, in a deal to create the second trans-Atlantic stock exchange. OMX AB sells exchange software and operates equity and derivatives exchanges in the Nordic and Baltic markets. Its Nordic Exchange includes exchanges in Copenhagen, Stockholm, [...]
Posted in Articles | Tagged Bloomberg, communications, Europe, Iceland, London Stock Exchange, nasdaq, NASDAQ OMX Group, nasdaq stock market inc, new york stock exchange, OMX AB, Prime Newswire, privacy, Riga, SEC, shareholder.com, stock exchange, Stockholm, Sweden, Tallinn, technology, the Washington Post, U.S. Securities and Exchange Commission, Vilnius
By Dominic Jones on May 22, 2007
By Dominic Jones OH dear! A bit of mess over at Glass Lewis & Co., the proxy advisory firm acquired in December by China-based Xinhua Finance Media. Two senior executives at the corporate governance firm — former SEC chief accountant Lynn E. Turner and former Wall Street Journal reporter Jonathan Weil — have quit, apparently [...]
Posted in Articles | Tagged China, disclosure, finance, Fredy Bush, Glass Lewis & Co., Jonathan Weil, law, Lynn E. Turner, National Association of Securities Dealers, SEC, securities, Shelly Singhal, U.S. Securities and Exchange Commission, wall street journal
By Dominic Jones on May 17, 2007
By Dominic Jones IS THE U.S. Securities and Exchange Commission becoming too pro-business? Or, as many in the business community claim, are its rules anti-business and hurting Corporate America’s competitiveness? The Washington Post’s SEC reporter Carrie Johnson today previews the critical issues that the SEC must decide in the coming weeks. The report provides interesting [...]
Posted in Articles | Tagged disclosure, Harvey Goldschmid, House Financial Services Committee, SEC, securities, technology, the Washington Post, U.S. Securities and Exchange Commission, using web technology, web technology
By Dominic Jones on May 11, 2007
Update: I’m convinced the FT is wrong on this story. The lack of any corroborating coverage from other media and an email exchange with someone who would know if it was true, confirm my suspicions on this. It will happen one day, just not as soon as the FT thinks. By Dominic Jones THE Financial [...]
Posted in Articles | Tagged disclosure, Investment Company Institute, media conference, SEC, securities, stocks, technology, U.S. Securities and Exchange Commission, XBRL
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 [...]
Posted in Articles | Tagged Bloomberg, 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
By Dominic Jones on May 3, 2007
By Dominic Jones THIS IS just a bit of fun, but what the hell is up with NIRI national these days? Not only are they offering their first webinar on blogging (shock, horror) and new media (shock, horror), but look who is speaking. Speaker: Debra Berliner, Managing Director, G.S. Schwartz & Co. Inc. (Moderator) Henry [...]
Posted in Articles | Tagged analyst, David Vinjamuri, Debra Berliner, G.S. Schwartz & Co. Inc., Henry Blodget, Light Yes, management, managing director, Merrill Lynch Internet, NASD, NIRI, Roger Wu, SEC, securities, securities and exchange commission, U.S. Securities and Exchange Commission
By Dominic Jones on April 28, 2007
By Dominic Jones BARRON’S technology journalist Eric Savitz has lashed out at companies that provide guidance in conference calls but not in their news releases, a practice he says discriminates against individual investors and leads to technical violations of Reg. FD. Writing on the Tech Trader Daily blog, Savitz says companies that provide guidance only [...]
Posted in Articles | Tagged blogs, conference calls, disclosure, earnings, Eric Savitz, Investor Relations, journalist, management, news releases, SEC, Tech Trader, technology, transcript services, transcripts, U.S. Securities and Exchange Commission
By Dominic Jones on April 26, 2007
By Dominic Jones GOOD to see this type of thing for a change. Applebee’s International Inc. and a hedge fund operated by former SEC-chairman Richard Breeden have settled their proxy fight. The company will appoint two of Breeden Capital Management’s competing directors to its board. They are Breeden himself and attorney Laurence Harris. Breeden had [...]
Posted in Articles | Tagged Laurence Harris, management, Richard Breeden, SEC, strategy, Strategy Committee, U.S. Securities and Exchange Commission
By Dominic Jones on April 13, 2007
WE ARE forced to take a break from posting here for the next little while. But rather than leave you cold turkey, we thought we’d offer up these 10 points to contemplate and debate while we’re gone from the blog. We’ll see you soon, though, so keep watching this space. 1. Walk in investors’ shoes [...]
Posted in Articles | Tagged blogs, communications, conference calls, disclosure, Google, investor communications, law, management, SEC, technology, U.S. Securities and Exchange Commission, usability, web communications, web usability, XBRL, YouTube
By Dominic Jones on April 10, 2007
THE U.S. Securities and Exchange Commission’s (SEC) Interactive Financial Report Viewer, a free online utility for viewing XBRL filings, has been upgraded with new features, including a chart builder and the ability to export reports to a spreadsheet. Launched in December 2006, the free open source utility is designed to demonstrate to analysts and investors [...]
Posted in Articles | Tagged feeds, Rivet Software, rss, SEC, securities, U.S. Securities and Exchange Commission, XBRL
By Dominic Jones on April 5, 2007
By Dominic Jones IF YOU’RE looking for an example of a plain English compensation discussion and analysis, take a look at IBM’s effort. Running this rather lengthy report through the Juicy Studio Readability Tester, it still scores better than any of the CD&A’s in our recent survey of 40 early proxy statements. Here are its [...]
Posted in Articles | Tagged disclosure, e-proxy, IBM, Investor Relations, SEC, U.S. Securities and Exchange Commission
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