Nasdaq Exchange Oversight

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tabindex="-1"></a> <div class="page__content"> <div data-drupal-messages-fallback class="hidden"></div><article class="solutions-collection"> <header class="collections-header"> <div class="collections-header__bg collections-header__bg--gradient-1"> </div> <div class="collections-header__container"> <h1 class="collections-header__title">Exchange Oversight</h1> <p class="collections-header__description">Nasdaq operates a multifaceted surveillance program with exchange oversight for U.S. and European markets.</p> </div> </header> <section class="grid-with-jump grid-with-jump--product"> <div class="grid-with-jump__links"> <span class="grid-with-jump__links-label">Jump to:</span> <button class="grid-with-jump__links-link" aria-label="Click to scroll to U.S. Oversight">U.S. Oversight</button> <button class="grid-with-jump__links-link" aria-label="Click to scroll to European Oversight">European Oversight</button> </div> <div class="grid-with-jump__section-container"> <div class="grid-with-jump__section"> <div class="grid-with-jump__section-heading" tabindex="0"> <h2 class="module-header"> U.S. Oversight </h2> </div> <div class="grid-with-jump__section-content"> <div class="grid-with-jump__card"> <h3 class="grid-with-jump__card-title"> <a class="arrow-cta" href="/web/20201009163544/https://www.nasdaq.com/solutions/us-oversight"> <span class="arrow-cta__text" aria-label="U.S. Oversight">U.S. Oversight</span> <span class="arrow-cta__icon" aria-hidden="true"></span> </a> </h3> <p class="grid-with-jump__card-copy"> Nasdaq operates a multifaceted surveillance program </p> </div> </div> <div class="grid-with-jump__button-container"> <button class="grid-with-jump__back-to-top">Back to top</button> </div> </div> <div class="grid-with-jump__section"> <div class="grid-with-jump__section-heading" tabindex="0"> <h2 class="module-header"> European Oversight </h2> </div> <div class="grid-with-jump__section-content"> <div class="grid-with-jump__card"> <h3 class="grid-with-jump__card-title"> <a class="arrow-cta" href="/web/20201009163544/https://www.nasdaq.com/solutions/european-disciplinary-processes"> <span class="arrow-cta__text" aria-label="European Disciplinary Processes">European Disciplinary Processes</span> <span class="arrow-cta__icon" aria-hidden="true"></span> </a> </h3> <p class="grid-with-jump__card-copy"> In Nasdaq Nordic, the Surveillance function is responsible for disciplinary procedures. </p> <div class="grid-with-jump__card-features"> <div class="grid-with-jump__card-label">Key Features</div> <ul> <li>Transparency</li> <li>Consistent Rulings</li> <li>Compliance</li> </ul> </div> </div> <div class="grid-with-jump__card"> <h3 class="grid-with-jump__card-title"> <a class="arrow-cta" href="/web/20201009163544/https://www.nasdaq.com/solutions/annual-quarterly-surveillance-reports"> <span class="arrow-cta__text" aria-label="Annual & Quarterly Surveillance Reports">Annual & Quarterly Surveillance Reports</span> <span class="arrow-cta__icon" aria-hidden="true"></span> </a> </h3> <p class="grid-with-jump__card-copy"> These reports describe the main day-to-day activities and achievements within Nordic Surveillance. </p> </div> </div> <div class="grid-with-jump__button-container"> <button class="grid-with-jump__back-to-top">Back to top</button> </div> </div> </div> </section> <section class="form contact-form form--white" aria-label="Contact Form" tabindex="0"> <div class="contact-form__bg contact-form__bg--gradient-3" aria-hidden="true"> <picture class="picture"> <source media="all and (min-width: 1200px)" type="image/jpeg" data-srcset="/web/20201009163544im_/https://www.nasdaq.com/sites/acquia.prod/files/styles/1600x500/public/2019-03/GettyImages-170031353.jpg?h=265e640d&itok=_G5DHuTl 1x"/> <source media="all and (min-width: 768px)" type="image/jpeg" data-srcset="/web/20201009163544im_/https://www.nasdaq.com/sites/acquia.prod/files/styles/1200x500/public/2019-03/GettyImages-170031353.jpg?h=265e640d&itok=CgF8_UOW 1x"/> <source type="image/jpeg" data-srcset="/web/20201009163544im_/https://www.nasdaq.com/sites/acquia.prod/files/styles/768x500/public/2019-03/GettyImages-170031353.jpg?h=265e640d&itok=Towes9K2 1x"/> <img class="media__image media__element b-lazy b-responsive" data-src="/sites/acquia.prod/files/styles/1200x500/public/2019-03/GettyImages-170031353.jpg?h=265e640d&itok=CgF8_UOW" src="data:image/gif;base64,R0lGODlhAQABAIAAAAAAAP///yH5BAEAAAAALAAAAAABAAEAAAIBRAA7" alt="colorful ribbon" typeof="foaf:Image"/> </picture> </div> <div class="contact-form__grid"> <header class="contact-form__header"> <span class="contact-form__logo"> <img src="/web/20201009163544im_/https://www.nasdaq.com/themes/nsdq/dist/assets/images/logo-white.svg"> </span> <h2 class="contact-form__title">General Questions? Contact Us</h2> </header> <div class="contact-form__form-container" data-form-id="848"> <div class="eloqua-form"> <div><form method="post" name="GTMS1803EquitieGeneralContactUs-152211489953s" action="https://web.archive.org/web/20201009163544/https://s1981692173.t.eloqua.com/e/f2" onsubmit="return handleFormSubmit(this)" id="form848" class="elq-form"><input value="GTMS1803EquitieGeneralContactUs-152211489953s" type="hidden" name="elqFormName"/><input value="1981692173" type="hidden" name="elqSiteId"/><input name="elqCampaignId" type="hidden"/><div id="formElement0" class="sc-view form-design-field sc-static-layout item-padding sc-regular-size"><div class="field-wrapper"></div><div class="individual field-wrapper"><div class="_100 field-style"><p class="field-p"><label for="field0" class="label-position top ">First Name<span class="required">*</span></label><input id="field0" name="firstName" type="text" value="" class="field-size-top-large"/></p></div></div></div><div id="formElement1" class="sc-view form-design-field sc-static-layout item-padding sc-regular-size"><div class="field-wrapper"></div><div class="individual field-wrapper"><div class="_100 field-style"><p class="field-p"><label for="field1" class="label-position top ">Last Name<span class="required">*</span></label><input id="field1" name="lastName" type="text" value="" class="field-size-top-large"/></p></div></div></div><div id="formElement2" class="sc-view form-design-field sc-static-layout item-padding sc-regular-size"><div class="field-wrapper"></div><div class="individual field-wrapper"><div class="_100 field-style"><p class="field-p"><label for="field2" class="label-position top ">Job Title<span class="required">*</span></label><input id="field2" name="jobtitle" type="text" value="" class="field-size-top-large"/></p></div></div></div><div id="formElement3" class="sc-view form-design-field sc-static-layout item-padding sc-regular-size"><div class="field-wrapper"></div><div class="individual field-wrapper"><div class="_100 field-style"><p class="field-p"><label for="field3" class="label-position top ">Company<span class="required">*</span></label><input id="field3" name="company" type="text" value="" class="field-size-top-large"/></p></div></div></div><div id="formElement4" class="sc-view form-design-field sc-static-layout item-padding sc-regular-size"><div class="field-wrapper"></div><div class="individual field-wrapper"><div class="_100 field-style"><p class="field-p"><label for="field4" class="label-position top ">Email Address<span class="required">*</span></label><input id="field4" name="emailAddress" type="text" value="" class="field-size-top-large"/></p></div></div></div><div id="formElement5" class="sc-view form-design-field sc-static-layout item-padding sc-regular-size"><div class="field-wrapper"></div><div class="individual field-wrapper"><div class="_100 field-style"><p class="field-p"><label for="field5" class="label-position top ">Business Phone<span class="required">*</span></label><input id="field5" name="busPhone" type="text" value="" class="field-size-top-large"/></p></div></div></div><div id="formElement6" class="sc-view form-design-field sc-static-layout item-padding sc-regular-size"><div class="field-wrapper"></div><div class="individual field-wrapper"><div class="_100 field-style"><p class="field-p"><label for="field6" class="label-position top ">Country</label><select id="field6" name="country" data-value="" class="field-size-top-large"><option value="">Please select…</option><option value="United States">United States</option><option value="Afghanistan">Afghanistan</option><option value="Åland Islands">Åland Islands</option><option value="Albania">Albania</option><option value="Algeria">Algeria</option><option value="American Samoa">American Samoa</option><option value="Andorra">Andorra</option><option value="Angola">Angola</option><option value="Anguilla">Anguilla</option><option value="Antarctica">Antarctica</option><option value="Antigua and Barbuda">Antigua and Barbuda</option><option value="Argentina">Argentina</option><option value="Armenia">Armenia</option><option value="Aruba">Aruba</option><option value="Australia">Australia</option><option value="Austria">Austria</option><option value="Azerbaijan">Azerbaijan</option><option value="Bahamas">Bahamas</option><option value="Bahrain">Bahrain</option><option value="Bangladesh">Bangladesh</option><option value="Barbados">Barbados</option><option value="Belarus">Belarus</option><option value="Belgium">Belgium</option><option value="Belize">Belize</option><option value="Benin">Benin</option><option value="Bermuda">Bermuda</option><option value="Bhutan">Bhutan</option><option value="Bolivia, Plurinational State of">Bolivia, Plurinational State of</option><option value="Bonaire, Sint Eustatius and Saba">Bonaire, Sint Eustatius and Saba</option><option value="Bosnia and Herzegovina">Bosnia and Herzegovina</option><option value="Botswana">Botswana</option><option value="Bouvet Island">Bouvet Island</option><option value="Brazil">Brazil</option><option value="British Indian Ocean Territory">British Indian Ocean Territory</option><option value="Brunei Darussalam">Brunei Darussalam</option><option value="Bulgaria">Bulgaria</option><option value="Burkina Faso">Burkina Faso</option><option value="Burundi">Burundi</option><option value="Cambodia">Cambodia</option><option value="Cameroon">Cameroon</option><option value="Canada">Canada</option><option value="Cape Verde">Cape Verde</option><option value="Cayman Islands">Cayman Islands</option><option value="Central African Republic">Central African Republic</option><option value="Chad">Chad</option><option value="Chile">Chile</option><option value="China">China</option><option value="Christmas Island">Christmas Island</option><option value="Cocos (Keeling) Islands">Cocos (Keeling) Islands</option><option value="Colombia">Colombia</option><option value="Comoros">Comoros</option><option value="Congo">Congo</option><option value="Congo, the Democratic Republic of the">Congo, the Democratic Republic of the</option><option value="Cook Islands">Cook Islands</option><option value="Costa Rica">Costa Rica</option><option value="Côte d'Ivoire">Côte d'Ivoire</option><option value="Croatia">Croatia</option><option value="Cuba">Cuba</option><option value="Curaçao">Curaçao</option><option value="Cyprus">Cyprus</option><option value="Czech Republic">Czech Republic</option><option value="Denmark">Denmark</option><option value="Djibouti">Djibouti</option><option value="Dominica">Dominica</option><option value="Dominican Republic">Dominican Republic</option><option value="Ecuador">Ecuador</option><option value="Egypt">Egypt</option><option value="El Salvador">El Salvador</option><option value="Equatorial Guinea">Equatorial Guinea</option><option value="Eritrea">Eritrea</option><option value="Estonia">Estonia</option><option value="Ethiopia">Ethiopia</option><option value="Falkland Islands (Malvinas)">Falkland Islands (Malvinas)</option><option value="Faroe Islands">Faroe Islands</option><option value="Fiji">Fiji</option><option value="Finland">Finland</option><option value="France">France</option><option value="French Guiana">French Guiana</option><option value="French Polynesia">French Polynesia</option><option value="French Southern Territories">French Southern Territories</option><option value="Gabon">Gabon</option><option value="Gambia">Gambia</option><option value="Georgia">Georgia</option><option value="Germany">Germany</option><option value="Ghana">Ghana</option><option value="Gibraltar">Gibraltar</option><option value="Greece">Greece</option><option value="Greenland">Greenland</option><option value="Grenada">Grenada</option><option value="Guadeloupe">Guadeloupe</option><option value="Guam">Guam</option><option value="Guatemala">Guatemala</option><option value="Guernsey">Guernsey</option><option value="Guinea">Guinea</option><option value="Guinea-Bissau">Guinea-Bissau</option><option value="Guyana">Guyana</option><option value="Haiti">Haiti</option><option value="Heard Island and McDonald Islands">Heard Island and McDonald Islands</option><option value="Holy See (Vatican City State)">Holy See (Vatican City State)</option><option value="Honduras">Honduras</option><option value="Hong Kong">Hong Kong</option><option value="Hungary">Hungary</option><option value="Iceland">Iceland</option><option value="India">India</option><option value="Indonesia">Indonesia</option><option value="Iran, Islamic Republic of">Iran, Islamic Republic of</option><option value="Iraq">Iraq</option><option value="Ireland">Ireland</option><option value="Isle of Man">Isle of Man</option><option value="Israel">Israel</option><option value="Italy">Italy</option><option value="Jamaica">Jamaica</option><option value="Japan">Japan</option><option value="Jersey">Jersey</option><option value="Jordan">Jordan</option><option value="Kazakhstan">Kazakhstan</option><option value="Kenya">Kenya</option><option value="Kiribati">Kiribati</option><option value="Korea, Democratic People's Republic of">Korea, Democratic People's Republic of</option><option value="Korea, Republic of">Korea, Republic of</option><option value="Kuwait">Kuwait</option><option value="Kyrgyzstan">Kyrgyzstan</option><option value="Lao People's Democratic Republic">Lao People's Democratic Republic</option><option value="Latvia">Latvia</option><option value="Lebanon">Lebanon</option><option value="Lesotho">Lesotho</option><option value="Liberia">Liberia</option><option value="Libyan Arab Jamahiriya">Libyan Arab Jamahiriya</option><option value="Liechtenstein">Liechtenstein</option><option value="Lithuania">Lithuania</option><option value="Luxembourg">Luxembourg</option><option value="Macao">Macao</option><option value="Macedonia, the former Yugoslav Republic of">Macedonia, the former Yugoslav Republic of</option><option value="Madagascar">Madagascar</option><option value="Malawi">Malawi</option><option value="Malaysia">Malaysia</option><option value="Maldives">Maldives</option><option value="Mali">Mali</option><option value="Malta">Malta</option><option value="Marshall Islands">Marshall Islands</option><option value="Martinique">Martinique</option><option value="Mauritania">Mauritania</option><option value="Mauritius">Mauritius</option><option value="Mayotte">Mayotte</option><option value="Mexico">Mexico</option><option value="Micronesia, Federated States of">Micronesia, Federated States of</option><option value="Moldova, Republic of">Moldova, Republic of</option><option value="Monaco">Monaco</option><option value="Mongolia">Mongolia</option><option value="Montenegro">Montenegro</option><option value="Montserrat">Montserrat</option><option value="Morocco">Morocco</option><option value="Mozambique">Mozambique</option><option value="Myanmar">Myanmar</option><option value="Namibia">Namibia</option><option value="Nauru">Nauru</option><option value="Nepal">Nepal</option><option value="Netherlands">Netherlands</option><option value="New Caledonia">New Caledonia</option><option value="New Zealand">New Zealand</option><option value="Nicaragua">Nicaragua</option><option value="Niger">Niger</option><option value="Nigeria">Nigeria</option><option value="Niue">Niue</option><option value="Norfolk Island">Norfolk Island</option><option value="Northern Mariana Islands">Northern Mariana Islands</option><option value="Norway">Norway</option><option value="Oman">Oman</option><option value="Pakistan">Pakistan</option><option value="Palau">Palau</option><option value="Palestinian Territory, Occupied">Palestinian Territory, Occupied</option><option value="Panama">Panama</option><option value="Papua New Guinea">Papua New Guinea</option><option value="Paraguay">Paraguay</option><option value="Peru">Peru</option><option value="Philippines">Philippines</option><option value="Pitcairn">Pitcairn</option><option value="Poland">Poland</option><option value="Portugal">Portugal</option><option value="Puerto Rico">Puerto Rico</option><option value="Qatar">Qatar</option><option value="Reunion">Reunion</option><option value="Romania">Romania</option><option value="Russian Federation">Russian Federation</option><option value="Rwanda">Rwanda</option><option value="Saint Barthélemy">Saint Barthélemy</option><option value="Saint Helena, Ascension and Tristan da Cunha">Saint Helena, Ascension and Tristan da Cunha</option><option value="Saint Kitts and Nevis">Saint Kitts and Nevis</option><option value="Saint Lucia">Saint Lucia</option><option value="Saint Martin (French part)">Saint Martin (French part)</option><option value="Saint Pierre and Miquelon">Saint Pierre and Miquelon</option><option value="Saint Vincent and the Grenadines">Saint Vincent and the Grenadines</option><option value="Samoa">Samoa</option><option value="San Marino">San Marino</option><option value="Sao Tome and Principe">Sao Tome and Principe</option><option value="Saudi Arabia">Saudi Arabia</option><option value="Senegal">Senegal</option><option value="Serbia">Serbia</option><option value="Seychelles">Seychelles</option><option value="Sierra Leone">Sierra Leone</option><option value="Singapore">Singapore</option><option value="Sint Maarten (Dutch part)">Sint Maarten (Dutch part)</option><option value="Slovakia">Slovakia</option><option value="Slovenia">Slovenia</option><option value="Solomon Islands">Solomon Islands</option><option value="Somalia">Somalia</option><option value="South Africa">South Africa</option><option value="South Georgia and the South Sandwich Islands">South Georgia and the South Sandwich Islands</option><option value="South Sudan">South Sudan</option><option value="Spain">Spain</option><option value="Sri Lanka">Sri Lanka</option><option value="Sudan">Sudan</option><option value="Suriname">Suriname</option><option value="Svalbard and Jan Mayen">Svalbard and Jan Mayen</option><option value="Swaziland">Swaziland</option><option value="Sweden">Sweden</option><option value="Switzerland">Switzerland</option><option value="Syrian Arab Republic">Syrian Arab Republic</option><option value="Taiwan">Taiwan</option><option value="Tajikistan">Tajikistan</option><option value="Tanzania, United Republic of">Tanzania, United Republic of</option><option value="Thailand">Thailand</option><option value="Timor-Leste">Timor-Leste</option><option value="Togo">Togo</option><option value="Tokelau">Tokelau</option><option value="Tonga">Tonga</option><option value="Trinidad and Tobago">Trinidad and Tobago</option><option value="Tunisia">Tunisia</option><option value="Turkey">Turkey</option><option value="Turkmenistan">Turkmenistan</option><option value="Turks and Caicos Islands">Turks and Caicos Islands</option><option value="Tuvalu">Tuvalu</option><option value="Uganda">Uganda</option><option value="Ukraine">Ukraine</option><option value="United Arab Emirates">United Arab Emirates</option><option value="United Kingdom">United Kingdom</option><option value="United States Minor Outlying Islands">United States Minor Outlying Islands</option><option value="Uruguay">Uruguay</option><option value="Uzbekistan">Uzbekistan</option><option value="Vanuatu">Vanuatu</option><option value="Venezuela, Bolivarian Republic of">Venezuela, Bolivarian Republic of</option><option value="Viet Nam">Viet Nam</option><option value="Virgin Islands (British)">Virgin Islands (British)</option><option value="Virgin Islands, U.S.">Virgin Islands, U.S.</option><option value="Wallis and Futuna">Wallis and Futuna</option><option value="Western Sahara">Western Sahara</option><option value="Yemen">Yemen</option><option value="Zambia">Zambia</option><option value="Zimbabwe">Zimbabwe</option><option 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</div> </section> <section class="solutions-graphic"> <div class="solutions-graphic__container"> <div class="solutions-graphic__header"> <span>Envision a Future – Fueled by Innovation, Technology and Expertise.</span> </div> <div class="solutions-graphic__subheader">Now, let’s get there. 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