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

Document types

• rulemaking notice 47
• regulation 2
• rule 1

Recent SEC activity

• rulemaking notice effective 6/16/2026

  [SEC] Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Ch

  The SEC published a notice for NYSE Arca's immediately effective proposed rule change to amend equities fees, prompted in part by the disproportionate impact of algorithmic trading strategies.

• rulemaking notice effective 8/7/2003

  [SEC] Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the National Association of S

  SEC notice for immediate effectiveness of a rule change by NASD, establishing a new approval process for market makers using computer-generated quoting systems.

• rulemaking notice effective 2/4/2026

  [SEC] Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 11.10(d)

  The SEC has issued a notice regarding Cboe EDGA Exchange's immediately effective proposed rule change to amend Rule 11.10(d) to revise the definition of Unique Identifier for EdgeRisk Self Trade Prevention (ERSTP) Modifiers, impacting algorithmic trading compliance.

• 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

  The SEC proposes new rules to eliminate or neutralize conflicts of interest arising from broker-dealers' and investment advisers' use of predictive data analytics.

• 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

  SEC notice clarifies Cboe BYX Exchange's fee schedule, including user fee exemptions and the definition of non-display usage, explicitly referencing AI model training data.

• 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

  SEC notice announces Cboe EDGA Exchange's immediately effective rule change to amend its fee schedule, clarifying non-display data usage for AI model training and aligning with industry standards.

• 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.

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