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Regulating By New Technology: The Impacts Of The Sec Data Analytics On The Sec Investigations, Tian Deng
Regulating By New Technology: The Impacts Of The Sec Data Analytics On The Sec Investigations, Tian Deng
Dissertations and Theses Collection (Open Access)
Despite the Securities and Exchange Commission’s (SEC) growing emphasis on data analytics in recent years, there is scant research about whether the investment in data analytics accomplishes its objective of enhancing enforcement efficiency. This study examines the effects of the SEC regional offices’ use of data analytics on their investigation outcomes. The utilization of data analytics reduces information processing costs, thereby streamlining the enforcement process as a whole. I find that the SEC’s use of data analytics is associated with a 12% increase in the SEC’s investigation success rate. Such an improvement is greater for firms whose disclosure are more …