‘Enforcement 40′ for 2017
Our Sponsors
Join Us On LinkedIn
Join the Securities Litigation and Enforcement Group on LinkedInNasdaq
Nasdaq taps veteran in-house counsel for top legal role – Reuters
Veteran Nasdaq in-house counsel John Zecca will take the reins of the legal department as chief legal officer and executive vice president on Oct. 1 while current CLO Ed Knight becomes vice chairman, according to a statement on Thursday from the New York-based financial services corporation. via Nasdaq taps veteran in-house counsel for top legal […]
Nasdaq to get first pot listing as Canada’s Cronos Group joins exchange – The Globe and Mail
The Nasdaq Stock Market will list its first cannabis shares on Tuesday, marking a key milestone for an industry that has been rejected by the Trump administration. Cronos Group Inc., which already trades in Canada, will be the first marijuana company on a major U.S. exchange — right alongside Nasdaq stocks such as Apple Inc., […]
Nasdaq to move New York headquarters to Times Square from downtown
Nasdaq said on Wednesday it would relocate its global headquarters from downtown Manhattan to midtown, expanding its presence at the Times Square office tower from where it broadcasts the market opening and closing bell ceremonies. via Nasdaq to move New York headquarters to Times Square from downtown
How Nasdaq watches for insider trading – MarketWatch
The MarketWatch team reviewed 387,260 surveillance alerts in 2015, resulting in 689 referrals to Finra for further review and drill-down on the activity at the brokerage firm level. Finra has its own proprietary market surveillance software, called Sonar, that it uses to identify activity for review. That surveillance is supplemented by the referrals and tips […]
Nasdaq Sets Aside $40 Million to Settle Facebook Claims
Nasdaq OMX Group pledging $40 million to cover broker losses for Facebook IPO.