With the SEC’s 2026 rulemaking agenda still taking shape, compliance teams are tracking developments and shoring up their programs. Janaya Moscony (SEC3 Compliance), Lisa Detwiler (FS Investment Solutions), and Kwame Lewis (Lewis-Levy Consulting) shared their advice:
- govern AI rather than avoid it, since examiners will want to know every function that uses it;
- err on the side of disclosure under FINRA’s OBA rule;
- adopt a risk plan for prediction markets before examiners sharpen their focus; and
- turn to counsel, not the SEC, for clarity in gray areas.
Read the full update from our friends at SEC3 here for more of their insights on what compliance professionals should be doing as they await new rules.
