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Frequently Asked Questions
  Why did I receive a Report HQ surveillance report, and does the Report HQ indicate a violation of exchange rules?
Identification Number 1558

Nasdaq generates daily Report HQ surveillance reports as a courtesy to supplement a firm’s surveillance of its market maker compliance. Report HQ surveillance reports do not obviate the firm’s obligation to implement its own reasonably designed supervisory system to monitor for compliance.  Exceptions contained in a Report HQ surveillance report may indicate a violation.  Firms will be notified of a potential violation in formal correspondence from Nasdaq Regulation (e.g., an inquiry letter).

Publication Date*: 4/30/2024 Mailto Link Identification Number: 1558
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