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Legal Briefing

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Securities and Exchange Commission enforcement trends

Overview

At a recent Practicing Law Institute panel, several of the regulators, including the Director of the Division of Enforcement at the Securities and Exchange Commission (SEC), spoke about the general priorities and trends in the enforcement area.

One trend, while not a type of misconduct, but rather a method of detecting it, is the SEC’s focus on ‘big data’. The SEC and other regulators are making a practice of analysing data, including trade reporting and compliance engine (TRACE) data, which includes transactions in complex financial instruments, to identify patterns that would suggest potential misconduct.