SEC reveals ‘two-pronged’ approach to policing notes

Big data and industry experts help unit bring enforcement actions

photo of reid muoio of the US SEC
Reid Muoio, US Securities and Exchange Commission

The US Securities and Exchange Commission's (SEC) complex financial instruments unit is adopting a "two-pronged approach" to policing the $50 billion registered structured notes market, said a senior SEC official at the Structured Products America conference on May 8.

The 40-person unit is relying on ‘big data' and the hiring of industry experts to help ferret out market abuses as other SEC offices also step up enforcement efforts.

Reid Muoio, the unit's deputy chief, laid out the commission's a

To continue reading...

You need to sign in to use this feature. If you don’t have a account, please register for a trial.

Sign in
You are currently on corporate access.

To use this feature you will need an individual account. If you have one already please sign in.

Sign in.

Alternatively you can request an indvidual account here: