Given that the SEC has proposed a new rule targeting the use of AI by investment advisers and broker-dealers, Regulatory Compliance Watch has created this page to assemble all of our AI content in one place.
Artificial Intelligence (AI)
LATEST AI COVERAGE
AI: IM director issues ‘request for engagement’
The SEC is turning to the public for help regulating AI
SEC IM Director Daly on AI and the future
"We want to work with advisers, investment companies, and other market participants to enable new technologies to come online, and to work with you on understanding how the industry can do that and still retain traditional investor protections"
AI agents beginning to be explored
FINRA exec shares details on different types of AI agents that the financial services industry is beginning to implement
2026 predictions: What may happen this year
RCW asked some industry pros for their best guesses of what you're likely to run into this year
Compliance resolutions: What’s on your ’26 to-do list?
It’s an annual tradition at RCW, asking compliance pros what they plan to accomplish in the new year. Here are some of their resolutions
Matrix: Is AI right for you?
The AI matrix directs you to complete four steps, including assessing the internal barriers to AI at your firm
