OMB Individually Reported
Single Event Insider Trading Analysis
Low riskExact public inventory row
Description
Assist ENF staff in identifying accounts with trading activity in advance of material equity price moves that warrant further investigation by the ENF staff.
Detailed example
Leads worthy of consideration for additional investigation.
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
Assist ENF staff in identifying accounts with trading activity in advance of material equity price moves that warrant further investigation by the ENF staff.
Controls / human review
ATO: Yes; PIA: Not published
Data needed
Records of filed SEC enforcement matters and trading data