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If you read the article, the SEC states that the reason they sold is because they were forced to by law, as they were soon going to being regulators of the securities they were going to regulate.

However it does appear to be a good indication that something is coming down the line if SEC people sell...



They should be barred from changing any position they have the moment there is a whisper of some sort of regulatory action against a company.

This policy is forcing them to act on non-public information, which is very illegal for everyone outside of the SEC.


That doesn't help either. If I have a thousand shares in BofA that become frozen, I might be tempted to go lightly on punitive damages against BofA to minimize losses to my portfolio.


So if you have to sell you're essentially shorting and the only way to make good on the trade is to make the price go down.


"Making good on a trade" is not the goal of a rational investor. The goal is increasing one's wealth. An SEC employee divested of an asset has no greater interest in the asset being devalued merely because ey once held the asset.


So that they can re-buy the asset at the newly-lowered value (with the assumption that it will return to its previous value)?


It went down because of a permanent change in SEC regulations. It's not going to bounce up from that.


Maybe allow for two options:

Option A: Blind trust with some capital gains incentives?

Option B: Ability to manage your own portfolio, but can't act on SEC+company news until x hours after publicly disclosed?


How about C: They aren't allowed to trade at all.


Isn't that a bit extreme? I'm not saying there should be implicit trust or that there is no risk of insider trading, but still. Its not right to deny them of all rights to have other sources of income apart from their job. I mean, having to sell all their stocks of a certain company before investigation is forfeiture enough.

My two cents,

D: Some sort of anonymized peer review of transactions? Maybe even automated.


The problem with option B is that it leads to a moral hazard in SEC enforcement actions.

Selling stocks in which you're conducting an investigation discharges the conflict in pursuing the investigation, but likely accrues a gain consequent to it.

Even, say, requiring a public disclosure of investigation, then* allowing SEC staff to sell stocks, would create a conflict to the extent that the decision to conduct an investigation would have a likely known negative influence on stock holdings.




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