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The Nasdaq Investigations and Enforcement Team is part of Nasdaq Regulation. Our mission is to protect investors and the integrity of the market by investigating instances of possible misconduct and enforcing the rules of Nasdaq's three equities markets (The Nasdaq Stock Market, LLC, Nasdaq BX, Inc. and PSX), six options markets (Nasdaq Options Market, LLC, Nasdaq BX Options, Nasdaq PHLX, LLC, Nasdaq ISE, LLC; Nasdaq GEMX, LLC; and Nasdaq MRX, LLC), futures market (Nasdaq Futures, Inc.) and the federal securities laws.
We recognize that our enforcement decisions will directly impact investors, members, and the market as a whole. We therefore strive to maintain an effective and efficient enforcement program that promotes just and equitable principles of trade, encourages fair and efficient markets, and modifies behavior that harms investors and the integrity of the market.
For information about Nasdaq's investigatory and disciplinary process, please take a few minutes to review our frequently asked questions.
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