Nasdaq Trade Surveillance

    Surveillance Rubber Hits the Road

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    Read our paper to identify how well (or not) US firms are set up to identify market abuse.

    Thought Leadership

    Surveillance Rubber Hits the Road: Regulators continue on their quest to improve surveillance processes

    FINRA’s release, “2023 Report on FINRA’s Examination and Risk Monitoring Program" provides member firms with a summary of findings from recent oversight activities and, for the first time, introduces a new Financial Crimes section including Manipulative Trading.

    Read our paper to identify how well (or not) US firms are set up to identify market abuse.

    FINRA’s release, “2023 Report on FINRA’s Examination and Risk Monitoring Program" provides member firms with a summary of findings from recent oversight activities and, for the first time, introduces a new Financial Crimes section including Manipulative Trading.

    Read our paper to identify how well (or not) US firms are set up to identify market abuse.

    ANTI-FINANCIAL CRIME

    Ally with Nasdaq's Anti-Financial Crime Technology

    Nasdaq Trade Surveillance

    Proactively detect market abuse and comply with regulations with time-tested and comprehensive cross-market, cross-asset trade surveillance technology.

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    Proactively detect market abuse and comply with regulations with time-tested and comprehensive cross-market, cross-asset trade surveillance technology.

    Learn more ->

    Nasdaq Market Surveillance

    Maintain fair, transparent and safe markets with a robust platform for exchanges, marketplaces and regulators to manage cross-market, cross-asset, multi-venue surveillance.

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    Maintain fair, transparent and safe markets with a robust platform for exchanges, marketplaces and regulators to manage cross-market, cross-asset, multi-venue surveillance.

    Learn more ->

    Nasdaq Surveillance for Crypto

    Effectively mitigate risks across traditional and digital assets, fiat and crypto, and on and off-chain activities with a comprehensive suite of crypto-specific monitoring capabilities.

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    Effectively mitigate risks across traditional and digital assets, fiat and crypto, and on and off-chain activities with a comprehensive suite of crypto-specific monitoring capabilities.

    Learn more ->