U.S. Securities and Exchange Commission (SEC) AI Actions

Document types

• rulemaking notice 49
• rule 1

Recent SEC activity

• rulemaking notice effective 5/12/2026

  [SEC] Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees for Industry Me

  The SEC announced a proposed rule change by Cboe BYX Exchange, Inc. to establish fees for industry members to cover Consolidated Audit Trail (CAT) costs from May 1, 2026, through December 31, 2026, which includes cloud hosting services for data management and analytic tools.

• rulemaking notice effective 4/28/2026

  [SEC] Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule To Co

  The SEC noticed a Cboe EDGX Exchange rule change to amend its fees schedule, codifying user fee exemptions and clarifying non-display usage definition to address the use of Large Language Models (LLMs) in data products, requiring licensing for such usage.

• rulemaking notice effective 4/28/2026

  [SEC] Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule To Cod

  The SEC announced a Cboe BZX Exchange rule change to amend its fee schedule to codify a user fee exemption and redefine non-display usage, specifically addressing the use of Large Language Models (LLMs) for market data.

• rulemaking notice proposed rule 4/5/2023

  [SEC] Cybersecurity Risk Management Rule for Broker-Dealers, Clearing Agencies, Major Security-Based Swap Participants, the Municipal Securities Rulemaking Board, Nat

  SEC proposes cybersecurity risk management rules for financial entities requiring policies, incident notification, and public disclosures.

• rulemaking notice final rule 8/4/2023

  [SEC] Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure

  SEC adopts new rules mandating public companies disclose material cybersecurity incidents, risk management, strategy, governance, and board oversight.

• rulemaking notice proposed rule 8/9/2023

  [SEC] Conflicts of Interest Associated With the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers

  SEC proposes rules to address conflicts of interest arising from broker-dealers' and investment advisers' use of predictive data analytics technologies.

• rulemaking notice effective 4/28/2026

  [SEC] Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule To Cod

  Cboe BYX Exchange amends its fee schedule to codify user fee exemptions and redefine non-display usage, explicitly addressing Large Language Models (LLMs) in 'black box' solutions.

• rulemaking notice effective 4/28/2026

  [SEC] Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule to Co

  The SEC announced an immediately effective rule change by Cboe EDGA Exchange, Inc. to update its fees schedule to include non-display usage licensing for data products integrated with Large Language Models and other black box solutions.

• rulemaking notice effective 4/28/2026

  [SEC] Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule To Co

  The SEC has published a Cboe EDGX Exchange Notice of Filing and Immediate Effectiveness to amend its fees schedule, codifying a user fee exemption and amending the definition of non-display usage, with new uses of Data Products, including AI model training, in mind.

• rulemaking notice effective 4/28/2026

  [SEC] Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Codify a

  Cboe Exchange amends its fee schedule to clarify a user fee exemption and the definition of 'Non-Display Usage' for data products, specifically considering new uses like AI model training.

• rulemaking notice proposed rule 11/27/2024

  [SEC] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adjust F

  FINRA's proposed rule change adjusts fees for sustainable funding and prepares for new SEC rules on AI and cybersecurity.

• rulemaking notice effective 9/30/2025

  [SEC] Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NDX Fees

  Nasdaq ISE, LLC is amending NDX fees, defining 'Retail' orders to exclude those originating from trading algorithms.

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