What Securities Pros Need To Know About SEC Data Analytics
By Charles Riely and Danielle Muniz (June 7, 2019, 2:19 PM EDT) -- On Dec. 6, 2016, an engineering research scientist, allegedly used Google to research the question "how [does the] sec detect unusual trad[ing]." The question was not an academic one for the scientist: He had repeatedly misappropriated confidential information from his wife, a law firm associate, and had spent months using this information for trading.
His search yielded several webpages concerning the U.S. Securities and Exchange Commission's detection and enforcement efforts. Apparently unimpressed or undeterred by what he read, he continued purchasing securities with the stolen information, and was later charged by the SEC with insider trading.
By now, the commission's use...
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