U.S. Securities & Exchange Commission
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U.S. Securities and Exchange Commission

Securities and Exchange Commission

Major Information Systems

Name

System Description

Office

NEAT

This is a forensic tool that leverages trading and market data to support the examination process.

OCIE

19d-1

Repository of final disciplinary actions taken by SROs against members or persons associated with members.

OCIE

ExamNet

Collaborative environment and repository for National Exam Program policies, procedures, and guidance, as well as program-office data.

OCIE

CIRA

Corporate Issuer Risk Assessment Dashboard.  CIRA is very flexible MicroStrategy dashboard platform enabling staff to customize their analytical preferences and ‘see’ the analytical results with a mouse click and then drill all the way down into their areas of interest. 

DERA

OIDS

OIDS is a secure portal for producing reports and providing data and analyses necessary to the SEC's mission. The portal offers data for analysis about funds, broker dealers, advisers and other topics.  

DERA

Matter Tracking System (MTS-e)

Workflow and reporting tool

ENF/IM

EnCase

Forensics Lab software that inputs and processes electronic evidence.

ENF

PALANTIR

Centralized, cross-organizational workspace for searching and analyzing information contained in the Palantir platform.

ENF

Bluesheets

Data feed through which broker-dealer firms and other SRO entities can submit trade data directly to the SEC via secure direct upload.

ENF

Evidence Tracking System (ETS)

Tracks processing of electronic discovery.

ENF

EnforceNet

Intranet for Division of Enforcement, including guidance and best practices.

ENF

Recommind

This is an eDiscovery document-management platform to analyze submitted information.  This replaces the legacy Concordance system.

ENF

OCIE

Technology Risk Assessment Compliance Examination Records (TRACER)

Tracks data gathered by OCIE's Technology Controls Program (TCP), as it monitors and inspects self-regulatory organizations (SROs) and Electronic Clearing Networks (ECNs) to ensure compliance with regulatory and legislative requirements.  This replaces the legacy CONDOR system.

OCIE

CUSIP Security Search 

Allows searches for security information such as the CUSIP number, as well as "drill down" to more detailed security information not currently available on-line. Search for a security by: full or partial name; security ticker symbol; CUSIP number; issuer type (corporate, municipal, government or all); or security status (active or inactive).

OIT

Electronic, Data Gathering, Analysis, and Retrieval (EDGAR)

Online system for the receipt, acceptance, dissemination, and analysis of SEC-mandated filings. EDGAR is broken into components that facilitate Commission staff interaction with the system. 

CF

Electronic Freedom of Information Act Processing System (e-FOIA)

Tracks and processes Freedom of Information Act (FOIA) requests and requests for confidential treatment.

OSO/FOIA

HUB

Provides case management and tracking for Division of Enforcement offices nationwide.

ENF

International Program Oversight Database (IPOD)

Tracks data gathered by the Office of International Affairs with respect to: (1) requests for enforcement cooperation between the SEC and foreign regulators and law enforcement authorities; (2) international regulatory policy initiatives; (3) technical assistance and international training programs; and (4) comparative law and mutual recognition matters.

OIA

MIDAS

MIDAS is an SEC system that combines advanced technologies with empirical data to promote better understanding of markets.

TM

SIRS

Allows the self-regulatory organizations (SROs) to submit exchange investigative openings, referrals, and advisories to the SEC.

ENF

SRTS

Records, routes, and tracks rule filings and amendments submitted by self-regulatory organizations (SROs).

TM

TCR

Contains all the Tips, Complaints, and Referrals (TCR) that the SEC receives. The TCR Repository provides an input form that allows authenticated users the ability to submit and search TCR. TCR Repository is capable of storing a wide range of artifacts such as documents, images, video, and audio that are received with TCR.

OIT

TRENDS

Provides one-stop electronic examination platform to manage National Examination Program processes of Office of Compliance Inspection and Examination (OCIE). To include tracking and reporting of examination data and managing of electronic documentation for all examination groups.

OCIE

http://sec.gov

Public facing web site. Provides timely information for general public, investors and filing companies.

OPA

http://investor.gov

Public facing web site. Provides valuable information for general public and investors.

OPA

http://www.sec.gov/foia/foiacontacts.htm


Modified: 04/08/2016