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Paul Tracy

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Prior to starting InvestingAnswers, Paul founded and managed one of the most influential investment research firms in America, with more than 2 million monthly readers. While there, Paul authored and edited thousands of financial research briefs, was published on Nasdaq. com, Yahoo Finance, and dozens of other prominent media outlets, and appeared as a guest expert at prominent radio shows and i...

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Updated August 5, 2020

What is Market Surveillance?

Market Surveillance is a unit of the NASDAQ stock exchange whose function is to ensure that all trading is conducted in a compliant manner.

How Does Market Surveillance Work?

The Market Surveillance unit of the NASDAQ stock exchange is responsible for monitoring trading activity. Market Surveillance seeks to catch and examine unlawful and unethical activities connected with trading that compromises the security and fairness of NASDAQ trading.

Why Does Market Surveillance Matter?

The NASDAQ exists as a network of traders connected by numerous computers in multiple locations. Without a single physical location, it is easier for traders to potentially engage in illicit trading practices. The Market Surveillance department follows trading on an ongoing basis to search for suspicious trading patterns and procedural gaps.

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