Resized-MT_Nasdaq-Trade-Surveillance

    Trade Surveillance Software for Retail Brokers

    Nasdaq Trade Surveillance for Retail Brokers

    Financial markets are witnessing a period of rapid growth and innovation through the rise of online retail brokers and involvement of non-institutional investors. 

    Nasdaq Trade Surveillance, for online retail brokers and the retail arm of banks, is a tailored, comprehensive surveillance solution that helps protect your firm from financial crime and reputational damage.

    Thought Leadership

    People on square

    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.

    Features

    Tailored Alert Coverage

    Out of the box alert scenarios ensure you have coverage across a wide array of market abuse behaviors relevant to retail brokers, including insider trading, pump and dump, wash trading, pattern alerts and more.

    Out of the box alert scenarios ensure you have coverage across a wide array of market abuse behaviors relevant to retail brokers, including insider trading, pump and dump, wash trading, pattern alerts and more.

    Intuitive Visualizations/UI

    Intuitive visualizations distill complex market data into one easy-to-use, customizable user interface that allows you to tailor analysis to specific patterns and alerts.

    Intuitive visualizations distill complex market data into one easy-to-use, customizable user interface that allows you to tailor analysis to specific patterns and alerts.

    Seamless Onboarding

    Our 24/7 customer service team is dedicated to training and supporting your firm. We manage implementation and data sourcing, hosting and maintenance - so you don’t have to!

    Our 24/7 customer service team is dedicated to training and supporting your firm. We manage implementation and data sourcing, hosting and maintenance - so you don’t have to!

    Surveillance Community

    Nasdaq’s surveillance community is the largest, spanning 170+ market participants, 50+ exchanges and 15+ regulators.

    With the largest number of retail clients, we run frequent peer group analytics to ensure you can benchmark against industry peers.

    Nasdaq’s surveillance community is the largest, spanning 170+ market participants, 50+ exchanges and 15+ regulators.

    With the largest number of retail clients, we run frequent peer group analytics to ensure you can benchmark against industry peers.

    Resources

    Article

    Top 6 Trends Impacting Retail & Implications for Surveillance Practitioners

    Factsheet

    Nasdaq Trade Surveillance for Retail Brokers

    Thought Leadership

    Use Case: Market Manipulation in Retail Markets

    Whitepaper

    Top 3 Behaviors for Retail Brokers to Monitor

    Whitepaper

    Implications of Increased Retail Participation for Surveillance Practitioners

    See in-depth surveillance coverage in action

    Claim Your Free Demo!

    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.

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

    Nasdaq Trade Surveillance (SMARTS)

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

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

    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.

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