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What Securities Pros Need To Know About SEC Data Analytics

Law360 (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].”[1] 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.[2]

His search yielded several webpages concerning the U.S. Securities and Exchange Commission’s detection and enforcement efforts.[3] 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.[4]

By now, the commission’s use...

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