9 documents, each opened and checked
Securities and Exchange Commission: what it has published on AI
9 documents from the Securities and Exchange Commission on artificial intelligence that touch disclosure, fraud, controls or finance operations, newest first, each linked to the primary page.
AllSECFINRAFedTreasuryFinCENCFTCGAO
| Date | Body | Type | Title |
|---|---|---|---|
| 2026-09-17 | SEC | Speech | Information in the Age of AIJoshua White, Chief Economist and Director of the Division of Economic and Risk Analysis, said financial information increasingly has two audiences, people and machines, and that AI may lower some costs of preparing disclosures. |
| 2025-08-01 | SEC | Press release | SEC Creates Task Force to Tap Artificial Intelligence for Enhanced Innovation and Efficiency Across the AgencyThe SEC launched an AI task force for its own operations, led by Valerie Szczepanik, who was named the SEC's Chief AI Officer. |
| 2025-03-20 | SEC | Press release | SEC Announces Agenda, Panelists for Roundtable on Artificial IntelligenceThe SEC published the agenda and panelists for its March 27 AI roundtable, and Acting Chairman Mark T. Uyeda asked the public for data and evidence on how AI can be used to protect investors. |
| 2025-02-28 | SEC | Press release | SEC to Host Roundtable on Artificial IntelligenceThe SEC announced a public roundtable on March 27, 2025 to discuss the risks, benefits and governance of AI in the financial industry. |
| 2025-02-20 | SEC | Press release | SEC Announces Cyber and Emerging Technologies Unit to Protect Retail InvestorsThe SEC created the Cyber and Emerging Technologies Unit, replacing the Crypto Assets and Cyber Unit, and listed fraud committed using emerging technologies such as AI and machine learning among its priority areas. |
| 2024-10-10 | SEC | Press release | SEC Charges Rimar Capital Entities and Owner Itai Liptz for Defrauding Investors by Making False and Misleading Statements About Use of Artificial IntelligenceThe SEC settled charges that Rimar Capital entities, their owner and a board member made false and misleading statements about the purported use of AI for automated trading, with $310,000 in total civil penalties. |
| 2024-03-18 | SEC | Press release | SEC Charges Two Investment Advisers with Making False and Misleading Statements About Their Use of Artificial IntelligenceThe SEC announced settled charges against Delphia (USA) Inc. and Global Predictions Inc. for false and misleading statements about their purported use of AI, with $400,000 in total civil penalties. |
| 2024-02-13 | SEC | Speech | AI, Finance, Movies, and the Law - Prepared Remarks Before the Yale Law SchoolChair Gary Gensler said a company raising money from the public needs to be truthful about its use of AI and associated risk, and that investors benefit from AI risk disclosures particularized to the company rather than boilerplate. |
| 2023-07-26 | SEC | Proposed rule | SEC Proposes New Requirements to Address Risks to Investors From Conflicts of Interest Associated With the Use of Predictive Data Analytics by Broker-Dealers and Investment AdvisersThe SEC proposed rules that would require broker-dealers and investment advisers to address conflicts of interest associated with their use of predictive data analytics and similar technologies when interacting with investors. |
Type is the document's form as its own page gives it: a proposed rule, a press release, a staff advisory, a report or a speech. A later action, such as a withdrawal, is added only once its own release has been opened. A speech is one official's view, not the agency's. The checked date for each row is in the llms.txt list and the methodology explains the sources.