SEC Exam Priorities 2026: AI-Washing, AI Trading Systems, and Broker-Dealer Obligations
The SEC’s 2026 examination priorities focus heavily on artificial intelligence, targeting “AI-washing,” AI trading systems, and broker-dealer compliance. Firms must substantiate AI claims, document trading controls, and disclose AI use and limitations. Heightened scrutiny on RIAs and broker-dealers underscores the need for thorough compliance and risk management practices.
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