SEC · SEC-34 · record R0027
Single Event Insider Trading Analysis
Securities and Exchange Commission · Division of Enforcement (ENF)
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
- 2018-04 (month precision)Source: 04/2018
- Withheld from public reporting
- NoSource: a) No
Mission
- Topic area
- Law Enforcement
- Operational functions
- No function tag matched Derived by keyword rules; see methodology
Problem the AI is intended to solve
Assist ENF staff in identifying accounts with trading activity in advance of material equity price moves that warrant further investigation by the ENF staff.
Expected benefits
Assist ENF staff in identifying accounts with trading activity in advance of material equity price moves that warrant further investigation by the ENF staff.
System outputs
Leads worthy of consideration for additional investigation.
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)
- SEARCH
- 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
- 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
- Not reported
- Authorization to Operate
- Yes
- Demographic features
- k) None of the above
- Training and evaluation data
- Records of filed SEC enforcement matters and trading 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