AI and SEC Enforcement Priorities

About this episode

The episode discusses the SEC's regulation of artificial intelligence and its impact on enforcement priorities.

In the third installment of our AI series, we turn to one of the most consequential—and fast-moving—frontiers in enforcement: how the SEC is regulating artificial intelligence. We sit down with Daren Firestone to break down the schemes increasingly drawing regulatory scrutiny, including “AI washing,” recent SEC settlements involved investment advisers that made false and misleading claims about their use of artificial intelligence, and the growing use of AI tools in cyber-enabled misconduct like hacking and ransomware. We explore how these developments are reshaping the SEC’s enforcement priorities, what companies need to know as AI becomes more deeply integrated into financial services, and what all of this means for potential whistleblowers navigating an evolving landscape. Daren Firestone is a Partner at Levy Firestone Muse. Learn more about Daren: https://www.levyfirestone.com/team/daren-firestone/

People in this episode

Guest: Daren Firestone

Topics covered

• SEC enforcement
• artificial intelligence
• regulatory scrutiny
• financial services
• whistleblowers
• cyber-enabled misconduct

Keywords

• SEC
• artificial intelligence
• regulation
• whistleblowers
• cybersecurity
• investment advisers
• AI washing

Mentioned in this episode

Organizations: Levy Firestone Muse, SEC, Anti-Fraud Coalition, TAF Coalition

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