Try our Advanced Search for more refined results

Expert Analysis

5 Lessons From The Nasdaq Settlement

Law360, New York (June 4, 2013, 11:39 AM EDT) -- On May 29,2013, the U.S. Securities and Exchange Commission fined the Nasdaq Stock Market LLC and Nasdaq Execution Services LLC (NES) $10 million for violations arising from the initiation of trading in Facebook Inc., following Facebook's initial public offering. This is the SEC's most recent action against a self regulatory organization (SRO) for violations involving automated systems. The SEC and the Financial Industry Regulatory Authority have also imposed significant fines against broker-dealers for failures to supervise automated systems....

Law360 is on it, so you are, too.

A Law360 subscription puts you at the center of fast-moving legal issues, trends and developments so you can act with speed and confidence. Over 200 articles are published daily across more than 60 topics, industries, practice areas and jurisdictions.


A Law360 subscription includes features such as

  • Daily newsletters
  • Expert analysis
  • Mobile app
  • Advanced search
  • Judge information
  • Real-time alerts
  • 450K+ searchable archived articles

And more!

Experience Law360 today with a free 7-day trial.

Start Free Trial

Already a subscriber? Click here to login

Related Sections

Law Firms

Companies

Government Agencies

Hello! I'm Law360's automated support bot.

How can I help you today?

For example, you can type:
  • I forgot my password
  • I took a free trial but didn't get a verification email
  • How do I sign up for a newsletter?
Ask a question!