what is a market intelligence attorney for sec

How does the SEC investigate whistleblowers?

Jan 24, 2022 · BREAKING NEWS: As foreshadowed in that post from last year, I’m hearing that one or more market intelligence firms aka alternative data providers are currently under investigation by the SEC. This news represents the first domino to fall. I won’t name the companies specifically but it’s not App Annie and as I alluded to previously, this ...

What is the SEC’s jurisdiction?

Jan 22, 2013 · Vincente Martinez Named Chief of SEC's Office of Market Intelligence. The Securities and Exchange Commission today announced that Vincente L. Martinez has been named Chief of the Enforcement Division’s Office of Market Intelligence, which collects and evaluates thousands of tips, complaints, and referrals that come into the SEC each year. Mr. …

Does the Securities and Exchange Commission approve or disapprove whistleblowers?

Jan 19, 2017 · The Securities and Exchange Commission today announced that Jennifer A. Diamantis has been named Chief of the Enforcement Division’s Office of Market Intelligence, which is responsible for the collection, analysis, and monitoring of the hundreds of thousands of tips, complaints, and referrals that the SEC receives each year.

What is market SEC?

The U.S. Securities and Exchange Commission (SEC) is an independent federal government regulatory agency responsible for protecting investors, maintaining fair and orderly functioning of the securities markets, and facilitating capital formation.

What is an SEC enforcement action?

Understanding the SEC Division of Enforcement The Division of Enforcement is the police force of the SEC. It pursues investigations of alleged violators of SEC laws regulations. The Division may bring civil actions against violators or recommend criminal charges.

Is the SEC a law enforcement agency?

Washington, D.C., U.S. The U.S. Securities and Exchange Commission (SEC) is an independent agency of the United States federal government, created in the aftermath of the Wall Street Crash of 1929. The primary purpose of the SEC is to enforce the law against market manipulation.

How serious is an SEC investigation?

SEC Investigations Can Be a Lengthy Process For the SEC, investigations are serious, lengthy and comprehensive because there is no more important work than protecting the investing public. In the course of this work, the SEC doesn't always uncover a violation of the federal securities laws.

What triggers SEC investigation?

Issues that Can Trigger SEC Investigations Under these rules, regulations, and statutes, the SEC targets issues such as: Account churning and other fraudulent practices. Blackout trading restriction violations. Fraudulent initial public offerings (IPOs) and initial coin offerings (ICOs)Sep 7, 2021

What happens when SEC Investigates?

Following the investigation, Division staff present their findings to the SEC Commissioner for review, and the Commissioner may authorize staff to file a case in federal court, bring an administrative action, or refer the case to the DOJ for criminal prosecution.Feb 4, 2022

Can the SEC make arrests?

It can conduct investigations of suspected illegal activity and can also bring civil actions against those who have violated its regulations. However, even though it can work with the Justice Department or other law enforcement officials on criminal cases, it cannot directly send a perpetrator to jail.

How do you know if the SEC is investigating you?

The first thing to know when you get a subpoena is that the SEC has a 'Formal Order of Investigation' which means the SEC has looked into the situation (somehow it has come to their attention, through an informant or through looking at the offering materials for the sale of securities to foreign investors) and has ...