Nasdaq Trade Surveillance Cross Product
    AxiomSL - Complete Transparency & Audit Trails
    AxiomSL - Complete Transparency & Audit Trails

    Nasdaq Trade Surveillance for Retail Brokers

    Safeguard Retail Investors from Sophisticated Market Abuse

    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 

    Thought Leadership

    Spotlight Content

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    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. 

    Click to learn more about the top 3 behaviors that are impacting retail brokers today.


    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. 

    Click to learn more about the top 3 behaviors that are impacting retail brokers today.

    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

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    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

    • Download the Factsheet->

    Thought Leadership

    Use Case: Market Manipulation in Retail Markets

    • Download the Use Case->

    Whitepaper

    Top 3 Behaviors for Retail Brokers to Monitor

    • Download the Whitepaper->

    Whitepaper

    Implications of Increased Retail Participation for Surveillance Practitioners

    • Download the Whitepaper->

    See in-depth surveillance coverage in action

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    Anti-Financial Crime

    Ally with Nasdaq's Anti-Financial Crime Technology

    Nasdaq Anti-Financial Crime

    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’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 (SMARTS)

    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 (SMARTS)

    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->