Nasdaq Trade Surveillance for Retail Brokers

Your retail clients depend on fair execution, but sophisticated manipulation often targets the very venues and products where retail orders are most vulnerable.

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Features

How We Protect Your Retail Business

Order Flow Intelligence

Monitor across all venues receiving your order flow to detect manipulation that could harm retail execution

Cross-Venue Detection

Identify price manipulation and spoofing patterns that span traditional exchanges, dark pools, and alternative trading systems

Product Integrity

Ensure fair pricing across fractional shares, options, and crypto offerings through integrated surveillance

Operational Efficiency

Reduce investigation time while building regulator-ready evidence that demonstrates client protection

Top 3 Behaviors for Retail Brokers to Monitor Over the last decade new platforms have disrupted the financial markets, retail investors have emerged as a dominant force, social media has become a key information source, and new asset classes have emerged. Learn more about the top 3 behaviors that are impacting retail brokers today. Click to Download

Safeguard Retail Investors from Sophisticated Market Abuse

Your retail clients trade based on trust. Our surveillance ensures that trust is never misplaced by detecting manipulation wherever it occurs across your execution ecosystem.

Resources

Insights and Resources for Retail Brokers

Article

Top 6 Trends Impacting Retail & Implications for Surveillance Practitioners

Retail trading is shifting fast—from crypto and copy‑trading to new manipulation risks—putting surveillance teams under pressure to adapt as regulators increase scrutiny.

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Factsheet

Nasdaq Trade Surveillance for Retail Brokers

Learn more about how Nasdaq Trade Surveillance can help protect your retail firm from nefarious behavior.

Nasdaq Trade Surveillance for Retail Brokers

Thought Leadership

Use Case: Market Manipulation in Retail Markets

Read a recent market manipulation use case from the retail industry and learn how to make your surveillance system the most effective it can be.

Use Case: Market Manipulation in Retail Markets

Whitepaper

Top 3 Behaviors for Retail Brokers to Monitor

Learn more about the top 3 behaviors that are impacting retail brokers today.

Top 3 Behaviors for Retail Brokers to Monitor

Whitepaper

Implications of Increased Retail Participation for Surveillance Practitioners

Fill out your information below to learn more about how increased market participation from retail investors is impacting the market and surveillance practitioners.

Implications of Increased Retail Participation for Surveillance Practitioners

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Anti-Financial Crime

Ally with Nasdaq's Anti-Financial Crime Technology

Nasdaq Anti-Financial Crime Technology

Nasdaq's Anti-Financial Crime solutions tackle nefarious activities across a range of compliance silos - detecting and fighting financial crime as it occurs.

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Nasdaq Trade Surveillance

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

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Nasdaq Market Surveillance

Better 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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