The Securities and Exchange Commission (SEC) regulates the National Stock Exchange, similar to all other exchanges.
NSX, in its role as a self-regulatory organization, oversees and regulates all trading conducted on the Exchange. In addition to systemic controls, every trade occurring on NSX is subject to continuous automated daily surveillance and other review.
To ensure effective regulation and maintain investor confidence, NSX has established numerous regulatory programs to ensure compliance with NSX rules and federal securities laws.
NSX recognizes that effective regulation protects the integrity of the marketplace, NSX member firms and, most importantly, the investor. The Exchange strictly enforces these regulations to provide a fair and orderly marketplace.