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FINRA Expands Cross-Market Surveillance

In early February, BATS Global Markets, Inc. (BATS) and FINRA announced an agreement to provide FINRA with cross-market surveillance services to BATS’ four exchanges by the first quarter of 2015.  The aggregating trading data that will be provided under the agreement will be combined with data provided by NASDAQ, NYSE Euronext, and FINRA’s equity markets to allow FINRA to conduct comprehensive surveillance across 99% of the market for U.S. listed equities.  The cross-market surveillance is designed to allow FINRA “to detect and deter instances where a market participant engages in potentially abusive conduct on two or more markets in an attempt to avoid detection.”

 

 
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