OMB Individually Reported
Identification of Potentially Manipulative Activity in Certain Accounts
Low riskExact public inventory row
Description
Identifies accounts with certain activity of interest for further review by an examination team
Detailed example
The system identifies activity of interest.
AI / analytics pattern
Classical/Predictive Machine Learning: Models trained on data to make predictions or classifications based on identified patterns or relationships.
Automation level / stage
c) Deployed – The use case is being actively authorized or utilized to support the functions or mission of an agency.
Expected benefit
Identifies accounts with certain activity of interest for further review by an examination team.
Controls / human review
ATO: Yes; PIA: https://www.sec.gov/files/pia-national-exam-analytics-tool.pdf
Data needed
Registrant Trade and MIDAS Market Data