Incident: Nasdaq Glitch Delays Facebook IPO, Costing Traders $500 Million

Published Date: 2013-03-25

Postmortem Analysis
Timeline 1. The software failure incident involving Nasdaq glitches during Facebook's IPO happened on May 18, 2012 [17912].
System 1. Nasdaq OMX Group's trading system 2. Nasdaq's order confirmation system 3. Nasdaq's transaction processing system 4. Nasdaq's technical infrastructure [17912]
Responsible Organization 1. Nasdaq OMX Group - The software failure incident during Facebook's IPO was caused by glitches on Nasdaq's end, leading to delays and issues with order confirmations and transactions [17912].
Impacted Organization 1. Brokerages involved in the Facebook IPO [17912] 2. Traders who were unable to confirm changes or cancellations to Facebook orders [17912]
Software Causes 1. Software glitches on Nasdaq's platform that delayed the debut of Facebook shares by half an hour [17912]. 2. Traders complained about not being able to confirm changes or cancellations made to Facebook orders, indicating potential software issues [17912]. 3. Some traders did not receive confirmation from Nasdaq that transactions had been completed, pointing to software failures [17912].
Non-software Causes 1. The delay in the debut of Facebook shares by half an hour due to Nasdaq glitches [17912]. 2. Traders not being able to confirm changes or cancellations made to Facebook orders starting as early as 4:30 a.m. PT [17912]. 3. Some traders not receiving confirmation from Nasdaq that transactions had been completed [17912]. 4. Technical problems costing traders about $500 million [17912].
Impacts 1. Traders were unable to confirm changes or cancellations made to Facebook orders, starting as early as 4:30 a.m. PT, leading to uncertainty and potential financial losses [17912]. 2. Some traders did not receive confirmation from Nasdaq that transactions had been completed, causing further confusion and potential financial impacts [17912]. 3. Technical problems during the Facebook IPO cost traders an estimated $500 million in losses [17912].
Preventions 1. Implementing thorough testing procedures to identify and address any potential glitches or bugs in the software prior to the IPO launch could have prevented the software failure incident [17912]. 2. Conducting comprehensive risk assessments and contingency planning to prepare for unexpected technical issues or failures during critical events like an IPO debut could have helped mitigate the impact of the glitch [17912]. 3. Enhancing communication protocols and transparency between the stock exchange operator, brokerages, and investors to provide timely updates and notifications regarding any technical difficulties or delays could have improved the overall response to the incident and potentially minimized losses [17912].
Fixes 1. Implementing robust testing procedures to identify and address glitches before they impact live trading systems [17912]. 2. Enhancing communication protocols to ensure timely and accurate updates to traders regarding order status and transaction confirmations [17912]. 3. Conducting a thorough review of the software architecture and infrastructure to identify and rectify any underlying issues that led to the glitch [17912]. 4. Providing adequate compensation to affected parties to mitigate financial losses and restore trust in the trading platform [17912].
References 1. The Securities and Exchange Commission (SEC) [Article 17912] 2. Nasdaq OMX Group [Article 17912] 3. Financial Industry Regulatory Authority (FINRA) [Article 17912] 4. Wall Street Journal [Article 17912]

Software Taxonomy of Faults

Category Option Rationale
Recurring one_organization (a) The software failure incident related to the Facebook IPO glitch at Nasdaq OMX Group was a significant event that resulted in delays and losses for investors. This incident was specific to Nasdaq and its handling of the Facebook IPO, indicating a failure within the organization's systems and processes [17912]. (b) There is no specific mention in the provided article about similar incidents happening at other organizations or with their products and services. Therefore, there is no evidence to suggest that this particular software failure incident had occurred elsewhere.
Phase (Design/Operation) design, operation (a) The software failure incident related to the design phase can be seen in the article where Nasdaq experienced glitches that delayed the debut of Facebook shares by half an hour. Traders complained about not being able to confirm changes or cancellations made to Facebook orders, indicating issues with the system development or updates [17912]. (b) The software failure incident related to the operation phase is evident in the complaints from traders who did not receive confirmation from Nasdaq that transactions had been completed. This points to issues with the operation or misuse of the system [17912].
Boundary (Internal/External) within_system (a) The software failure incident related to the Facebook IPO on Nasdaq can be categorized as within_system. The glitch that delayed the debut of Facebook shares and caused issues with confirming changes or cancellations to orders originated from within Nasdaq's system itself, leading to losses for traders and the need for Nasdaq to compensate them [17912].
Nature (Human/Non-human) non-human_actions, human_actions (a) The software failure incident in this case was primarily due to non-human actions, specifically glitches in Nasdaq's systems that delayed the debut of Facebook shares and caused issues with order confirmations and transaction completions. Traders complained about not being able to confirm changes or cancellations to orders, and some did not receive confirmation from Nasdaq about completed transactions [17912]. (b) Human actions also played a role in this incident as angry traders demanded compensation for their losses incurred as a result of the glitch. Nasdaq had to come up with a plan to distribute funds to brokerages that lost money due to the glitches, indicating a response to human demands and actions [17912].
Dimension (Hardware/Software) hardware, software (a) The software failure incident related to hardware: - The article mentions that Nasdaq glitches delayed the debut of Facebook shares by half an hour, indicating a hardware-related issue [17912]. (b) The software failure incident related to software: - The article highlights that traders complained about not being able to confirm changes or cancellations made to Facebook orders, and some did not receive confirmation that transactions had been completed, pointing towards a software-related issue [17912].
Objective (Malicious/Non-malicious) non-malicious (a) The software failure incident related to the Facebook IPO on Nasdaq was non-malicious. The incident was attributed to glitches in Nasdaq's systems that delayed the debut of Facebook shares and caused issues with order confirmations and transaction completions. Traders incurred significant losses due to these technical problems, leading to demands for compensation from Nasdaq. The Securities and Exchange Commission approved Nasdaq's plan to distribute $62 million in cash to investors affected by the glitch, indicating a resolution aimed at restitution rather than punitive action [17912].
Intent (Poor/Accidental Decisions) poor_decisions, accidental_decisions (a) The software failure incident related to the Facebook IPO on Nasdaq can be attributed to poor decisions made by Nasdaq OMX Group. The glitch that delayed the debut of Facebook shares by half an hour led to significant losses for traders, estimated at around $500 million. Nasdaq initially planned to offer $40 million in compensation to financial firms affected by the glitch, but later increased the amount to $62 million in cash payouts after facing pressure from angry traders demanding compensation for their losses. Despite the approval of the payout plan by the SEC, Nasdaq may still face lawsuits or further regulatory action [17912]. (b) The software failure incident can also be linked to accidental decisions or unintended consequences. Traders complained about not being able to confirm changes or cancellations made to Facebook orders early in the morning before the stock started trading. Additionally, some traders reported not receiving confirmation from Nasdaq that their transactions had been completed. These issues indicate unintended consequences of the software glitch that affected traders' ability to execute trades smoothly and led to financial losses [17912].
Capability (Incompetence/Accidental) development_incompetence (a) The software failure incident related to development incompetence is evident in the article as it mentions Nasdaq glitches that delayed the Facebook IPO debut by half an hour. Traders complained about not being able to confirm changes or cancellations made to Facebook orders, and some did not receive confirmation that transactions had been completed. The technical problems cost traders about $500 million, indicating a significant impact of the glitch [17912]. (b) The accidental aspect of the software failure incident is also highlighted in the article as it describes how angry traders demanded compensation for losses incurred as a result of the glitch. Nasdaq's initial plan to offer $40 million was increased to $62 million in cash to provide appropriate restitution to customers, members, and market participants affected by the incident [17912].
Duration temporary (a) The software failure incident related to the Nasdaq glitches during Facebook's IPO can be categorized as temporary. The glitch caused a delay in the debut of Facebook shares by half an hour, and traders complained about not being able to confirm changes or cancellations to orders, as well as not receiving confirmation of completed transactions. This temporary disruption led to significant financial losses for traders, estimated at around $500 million [17912].
Behaviour crash, omission, value, other (a) crash: The software failure incident in this case can be categorized as a crash. The glitch in Nasdaq's system caused a delay in the debut of Facebook shares by half an hour, leading to complaints from investors who were unable to confirm changes or cancellations to orders. This resulted in losses estimated at around $500 million [17912]. (b) omission: The incident also involved omission as traders reported not receiving confirmation from Nasdaq that transactions had been completed. This omission of providing necessary feedback or confirmation to traders contributed to the chaos and demands for compensation [17912]. (c) timing: The timing of the software failure incident was crucial as it caused delays in the trading process. Investors complained about not being able to confirm changes or cancellations starting as early as 4:30 a.m. PT, and some did not receive confirmation until later in the morning. This timing issue affected the smooth functioning of the trading process [17912]. (d) value: The software failure incident also falls under the category of value-related failure. The glitch in Nasdaq's system led to incorrect performance, causing losses to traders estimated at around $500 million. The system's failure to execute transactions accurately resulted in financial harm to investors [17912]. (e) byzantine: There is no explicit mention of the software failure incident exhibiting byzantine behavior in the provided article. (f) other: The other behavior exhibited by the software failure incident was the failure to provide timely and accurate feedback to traders regarding the status of their transactions. This lack of communication and transparency from Nasdaq's system contributed to the confusion and demands for compensation from affected parties [17912].

IoT System Layer

Layer Option Rationale
Perception None None
Communication None None
Application None None

Other Details

Category Option Rationale
Consequence property, delay, theoretical_consequence The consequence of the software failure incident reported in the article [17912] was primarily financial in nature. The glitch during Facebook's IPO on Nasdaq resulted in significant losses for traders, estimated to be around $500 million. Brokerages and traders were affected as they faced delays, were unable to confirm changes or cancellations to orders, and did not receive transaction confirmations promptly. As a result, angry traders demanded compensation for their losses. Nasdaq planned to distribute up to $62 million in cash to investors affected by the glitch, acknowledging the financial impact of the software failure. The potential consequences discussed included lawsuits and further regulatory actions against Nasdaq due to the incident. There were no reported consequences related to death, physical harm, impact on basic needs, or non-human entities in this specific incident.
Domain finance The software failure incident reported in the article is related to the finance industry [17912]. The incident specifically involves the botched IPO of Facebook on the Nasdaq stock exchange, where glitches caused delays and issues for investors and brokerages. Traders experienced problems with confirming changes or cancellations to orders, and some did not receive transaction confirmations. The technical problems resulted in estimated losses of about $500 million for traders, leading to demands for compensation from Nasdaq. Nasdaq's plan to distribute up to $62 million in cash as restitution to affected parties was approved by the Securities and Exchange Commission.

Sources

Back to List