Market Abuse Unit

E296195
SEC division-level unit specialized enforcement unit

The Market Abuse Unit is a specialized team within the U.S. Securities and Exchange Commission focused on investigating and prosecuting insider trading, market manipulation, and other complex securities trading violations.

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All labels observed (1)

Label Occurrences
Market Abuse Unit canonical 1

Statements (47)

Predicate Object
instanceOf SEC division-level unit ⓘ
specialized enforcement unit ⓘ
activity bringing enforcement actions ⓘ
coordinating with criminal authorities on parallel investigations ⓘ
developing specialized expertise in trading practices ⓘ
investigating suspicious trading patterns ⓘ
cooperatesWith Financial Industry Regulatory Authority ⓘ
United States Department of Justice ⓘ
surface form: U.S. Department of Justice

foreign securities regulators ⓘ
self‑regulatory organizations ⓘ
country United States of America ⓘ
surface form: United States
enforcementPowers administrative proceedings ⓘ
civil enforcement actions ⓘ
seeking civil monetary penalties ⓘ
seeking disgorgement of ill‑gotten gains ⓘ
seeking injunctions ⓘ
focusesOn abusive trading practices ⓘ
complex securities trading violations ⓘ
cross‑market trading schemes ⓘ
fraud in securities markets ⓘ
high‑frequency and algorithmic trading abuses ⓘ
insider trading ⓘ
insider trading by corporate insiders ⓘ
insider trading by hedge funds ⓘ
insider trading by professional traders ⓘ
market manipulation ⓘ
structured securities products abuses ⓘ
goal deter market abuse ⓘ
enhance integrity of U.S. securities markets ⓘ
maintain fair and orderly markets ⓘ
protect investors ⓘ
industry financial markets enforcement ⓘ
securities regulation ⓘ
jurisdiction U.S. federal securities laws ⓘ
legalBasis Dodd–Frank Wall Street Reform and Consumer Protection Act ⓘ
surface form: Dodd‑Frank Wall Street Reform and Consumer Protection Act

Investment Advisers Act of 1940 ⓘ
Investment Company Act of 1940 ⓘ
U.S. Securities Act of 1933 ⓘ
surface form: Securities Act of 1933

U.S. Securities Exchange Act of 1934 ⓘ
surface form: Securities Exchange Act of 1934
parentOrganization Securities and Exchange Commission ⓘ
surface form: U.S. Securities and Exchange Commission
partOf Division of Enforcement ⓘ
Securities and Exchange Commission ⓘ
surface form: U.S. Securities and Exchange Commission
regulates participants in U.S. securities markets ⓘ
subjectToOversightBy Division of Enforcement of the SEC ⓘ
surface form: SEC Division of Enforcement leadership
usesTool data analytics ⓘ
market surveillance technology ⓘ
trading data analysis ⓘ

Referenced by (1)

Full triples — surface form annotated when it differs from this entity's canonical label.

Division of Enforcement of the SEC → hasSubUnit → Market Abuse Unit ⓘ