Market Surveillance

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Market Surveillance

On NASDAQ, a department that investigates and reports any suspected illegal behavior. Market Surveillance is an important department in maintaining a free, fair, and transparent market. Because NASDAQ is an electronic exchange, Market Surveillance conducts most of its investigations on computers.

References in periodicals archive ?

David Cooper, head of Compliance, Cenkos Securities, noted, "In order to meet ever-increasing regulatory and compliance obligations, we undertook a rigorous review of market surveillance firms before selecting and deploying Ancoa's platform.

United Kingdom : Cenkos Securities chooses Ancoa~~s market surveillance platform to monitor cash equities trading activities

Celent's report highlighted four key product differentiators within NICE Actimize's market surveillance and compliance solutions portfolio.

NICE Actimize Cited as a Leader in Celent's Market Surveillance Systems Analyst Report

The OneTick Market Surveillance Service delivers an integrated, real-time examination of Order Flow for Regulated Entities supporting end-to-end breach detection, alert workflow management and historical replay activities.

OneMarketData Introduces OneTick Market Surveillance Solution

Better coordination of safety checks by the creation of a more cooperative system of market surveillance to eliminate unfair competition from dishonest or rogue traders.

SGS Informs on European Parliament Proposal of New Rules for Safer Products and Better Market Surveillance

The implementation of the Capizar Market Surveillance will ensure that trading remains the foremost priority and that it is conducted in a transparent manner', commented CEO, Infotech.

InfoTech continues to achieve recognition

The Apama Market Surveillance and Monitoring solution offers an integrated, real-time view of external and internal events and processes, supporting the end-to-end surveillance, monitoring and risk management activities required by ESMA, Dodd-Frank, the Securities and Exchange Board of India (SEBI) and other global regulatory bodies and initiatives.

Progress Apama Market Surveillance and Monitoring Solution Adds ESMA Regulatory Compliance

The agencies have set up a working group on market surveillance, with the Federal Reserve Bank of New York accepting primary responsibility for collecting and disseminating information.

Statement by William J. McDonough, Executive Vice President, Federal Reserve Board of New York, before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, U.S. House of Representatives, March 17, 1993

It falls on the brokers as the primary intermediary between investors and exchanges to assist regulators in making sure that market surveillance catches up to the real-time dynamics of the market.

TABB Says Sweeping Regulatory Changes Will Lead US and European Brokers to Spend $206 Million in 2011 on New Surveillance Programs

Tenders are invited for Joint enforcement actions under the multi-annual action plan for market surveillance of products in the EU.

Joint enforcement actions under the multi-annual action plan for market surveillance of products in the EU

The near-real-time services, delivered exclusively through Quantum5's Market Surveillance Engine, generate price exception and missed fill alerts for domestic equities, pink sheets, OTC bulletin board stocks, as well as exchange listed options.

Firm to Offer Near-Real-Time Trade Performance Analysis

In addition, the competitive force of broader participation will be reinforced by proposals targeted at manipulative abuse: tighter enforcement of auction rules and enhanced market surveillance by the Federal Reserve Bank of New York to identify potential manipulative episodes that could trigger SEC investigation and Treasury supply management to reopen offerings.

Statements to the Congress

Progress Software Corporation (NASDAQ: PRGS), a global provider of application infrastructure software used to develop, deploy, integrate and manage business applications, today announced the latest release of its popular Progress[R] Apama[R] Market Surveillance and Monitoring Accelerator.

Progress Software Releases New Generation of Apama Market Surveillance and Monitoring Accelerator