Information Access & Development Department

The Information Access & Development Department ("IAD") services the surveillance and ad hoc data needs of the Regulatory Services Division ("Division") and provides technical assistance and training to Division staff. The two primary functions of IAD are 1) providing ad-hoc data access and analysis to Division staff in support of the surveillance, investigative and examination roles and 2) prioritization and management of the production systems development of regulatory tools. IAD also provides interim support for new surveillances related to business initiatives, Intermarket Surveillance Group (ISG) technology initiatives, industry-wide initiatives such as the SEC's Large Trader rule and the Consolidated Audit Trail rules, business continuity, audit trail data quality studies and trend analysis, moving client server applications to a web-based platform and continuing support for automated surveillance requests from the SEC. IAD staff is also responsible for the production of various status reports provided to the Regulatory Oversight and Compliance Committee, Board of Directors and Division management.