SEC · SEC-26 · record R0024
Identification of Potentially Manipulative Activity in Certain Accounts
Securities and Exchange Commission · Division of Examinations (EXAMS)
Overview
- Development stage
- DeployedSource: c) Deployed – The use case is being actively authorized or utilized to support the functions or mission of an agency.
- High-impact designation
- Not high-impactSource: c) Not high-impact
- Impact justification
- Not reported
- Start date
- 2024-05 (month precision)Source: 05/2024
- Withheld from public reporting
- NoSource: a) No
Mission
- Topic area
- Other
- Operational functions
- No function tag matched Derived by keyword rules; see methodology
Problem the AI is intended to solve
Identifies accounts with certain activity of interest for further review by an examination team
Expected benefits
Identifies accounts with certain activity of interest for further review by an examination team.
System outputs
The system identifies activity of interest.
Technology
- AI classification
- Classical / predictive MLSource: Classical/Predictive Machine Learning: Models trained on data to make predictions or classifications based on identified patterns or relatio…
- System name(s)
- NEAT
- Custom-developed code
- Yes
- Public source code
- Not reported
Sourcing
- How it was built
- Contract and in-houseSource: c) Developed with both contracting and in-house resources
- Vendor (as reported)
- Aretec Inc
- Vendors (standardized)
- Aretec
A vendor is the supplier named by the agency. It does not identify the underlying model or AI technology.
Data and privacy
- Involves PII
- Yes
- Privacy Impact Assessment
- www.sec.gov ↗
- Authorization to Operate
- Yes
- Demographic features
- k) None of the above
- Training and evaluation data
- Registrant Trade and MIDAS Market Data
- Federal Data Catalog
- Not reported
Governance
0 of 8 minimum-practice questions answered. A blank answer means the agency reported nothing; it does not mean the practice is absent.
Pre-deployment testingNo answer reported
AI impact assessmentNo answer reported
Independent reviewNo answer reported
Ongoing monitoringNo answer reported
Operator trainingNo answer reported
Fail-safeNo answer reported
Appeal processNo answer reported
User and public consultationNo answer reported
Potential impacts and how they were identified
Not reported