March 17, 11:00 AM — 11:45 AM EST
From meeting notetakers and transcription services to AI-powered marketing content and automated review tools, firms are embedding AI into daily operations. But under SEC Rule 17a-4 and FINRA Rule 4511, the responsibility for books and records hasn’t shifted. It’s just gotten more complex.
In 2026, regulators want proof, not just policies. They’re looking for evidence that compliance is happening in real time, that AI decisions are explainable, and that firms can trace the connection between what they’ve documented and what they can actually produce.
This webinar translates SEC and FINRA 2026 priorities into practical compliance steps for firms using AI.
What You’ll Learn:
- Why 2026 exam priorities emphasize evidence over documentation – and how that changes recordkeeping expectations
- When AI outputs become required records: transcripts, summaries, meeting notes, retention obligations, and Form ADV disclosure considerations
- Black Box AI risks and why compliance teams must understand and document how AI tools reach conclusions
- How to build audit-ready documentation that demonstrates supervisory controls are embedded, enforced, and defensible