The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations recently announced the publication of a report entitled “Cybersecurity and Resiliency Observations” that summarizes the observations gleaned from OCIE’s cybersecurity examinations of broker-dealers, investment advisers, clearing agencies, national securities exchanges and other SEC registrants.
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The U.S. Chamber’s Technology Engagement Center (“C_TEC”) and Center for Global Regulatory Cooperation (“GRC”) recently released a set of ten principles essential for attaining the full potential of AI technologies.

The principles, drafted with input from more than 50 Chamber member companies, stress the importance of creating a sensible and innovation-forward approach to addressing the challenges and opportunities presented by AI.


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