Securities and Exchange Commission (SEC) Case #14-ENF-0726-I – Improper Disclosure of Nonpublic Information

Background

On July 18,2014, the U.S. Securities and Exchange Commission (SEC), Office of Inspector General (OIG), Office of Investigations (01), initiated an investigation on the basis of allegations that SEC information was leaked to Reuters, an international news agency, regarding 10 investment companies under investigation by the SEC for their “High Frequency Practices” practices.

The investigation determined that nonpublic information was included in the July 17, 2014, Reuters article. However, OIG was unable to determine which specific individual(s) improperly disclosed information to Reuters based on the March 24,2014, email regarding SEC’s on-going review of HFT practices.

The Investigation

 Securities and Exchange Commission (SEC) Case #14-ENF-0726-I – Improper Disclosure of Nonpublic Information [18 Pages, 3.7MB]

Continue scrolling for more...

https://documents.theblackvault.com/documents/SEC/14-ENF-0726-I.pdf

Follow The Black Vault on Social Media:

This post was published on May 16, 2017 11:19 pm

John Greenewald

Recent Posts

Manta Ray UUV Prototype Completes In-Water Testing

DARPA program exhibits modular, first-of-kind capabilities The following article is archived from a press release…

May 1, 2024

NSA Denies Release of Intellipedia Policy Changes Citing Security Risks

For more than a decade, the NSA released information from the Intellipedia system. Hundreds of…

May 1, 2024

AARO Releases Final Report on “Eglin UAP” Incident

Today, the All-domain Anomaly Resolution Office (AARO) of the U.S. Department of Defense provided their…

April 24, 2024

AATIP and the Pentagon: The Struggle Over UFO Program Records

Since October 2017, The Black Vault has investigated the Advanced Aerospace Threat Identification Program (AATIP),…

April 23, 2024

FOIA Documents Reveal AARO’s Authorized and Repeated Attempts to Engage with David Grusch

https://www.youtube.com/watch?v=3GNITLBj0hM The All-domain Anomaly Resolution Office (AARO), tasked to investigate Unidentified Anomalous Phenomena (UAP), made…

April 18, 2024

DoD Releases “KONA BLUE” Documents

The following was the description by the DoD about KONA BLUE. It is reproduced here,…

April 16, 2024