Governance and accountability
Governance evidence
What agencies reported about the OMB M-25-21 minimum practices for high-impact AI. This is a disclosure analysis, not an audit, a compliance finding or an official assessment. An unanswered question is missing evidence, not evidence that a safeguard is absent.
Practice-by-practice evidence
Denominator: 60 records · all use cases in the current filterNo answer reported
| Practice | In scope | In place | In progress | Not in place | N/A | Precluded or waived | Other | No answer | Answered | In place of applicable |
|---|---|---|---|---|---|---|---|---|---|---|
| Pre-deployment testing | 60 | 0 | 0 | 0 | 0 | 0 | 0 | 60 | 0% | 0% of 60 |
| AI impact assessment | 60 | 0 | 0 | 0 | 0 | 0 | 0 | 60 | 0% | 0% of 60 |
| Independent review | 60 | 0 | 0 | 0 | 0 | 0 | 0 | 60 | 0% | 0% of 60 |
| Ongoing monitoring | 60 | 0 | 0 | 0 | 0 | 0 | 0 | 60 | 0% | 0% of 60 |
| Operator training | 60 | 0 | 0 | 0 | 0 | 0 | 0 | 60 | 0% | 0% of 60 |
| Fail-safe | 60 | 0 | 0 | 0 | 0 | 0 | 0 | 60 | 0% | 0% of 60 |
| Appeal process | 60 | 0 | 0 | 0 | 0 | 0 | 0 | 60 | 0% | 0% of 60 |
| User and public consultation | 60 | 0 | 0 | 0 | 0 | 0 | 0 | 60 | 0% | 0% of 60 |
Answered = records with any answer ÷ records in scope. In place of applicable = reported in place ÷ (in scope minus not applicable, precluded and waived). Unanswered records stay in that denominator, so the rate is a lower bound on reported evidence, not an estimate of real practice.
| Testing | Impact assess. | Indep. review | Monitoring | Training | Fail-safe | Appeal | Consultation | n | |
|---|---|---|---|---|---|---|---|---|---|
| SEC | – | – | – | – | – | – | – | – | 60 |
Hatched cells: the agency answered nothing for that practice, so there is no evidence either way. Compare agencies with care: each agency is one reporting unit, and portfolios differ in size and type.
Records requiring further investigation
60 records with at least one practice unanswered or in progressOpen in explorer| Use case | Stage | Test | AIA | Review | Monitor | Train | Fail-safe | Appeal | Consult |
|---|---|---|---|---|---|---|---|---|---|
| 8-K Filing Solution SEC · SEC-5 | Deployed | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Training Conversation Tool SEC · SEC-6 | Deployed | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Name Matching SEC · SEC-19 | Deployed | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Parsing of Plain Language Descriptions to Machine-Readable Notations SEC · SEC-20 | Deployed | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Using Natural Language Processing Techniques to Search and Analyze Certain Filings SEC · SEC-23 | Deployed | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Using Machine Learning/Artificial Intelligence Techniques to Predict Entities With Certain Risk Characteristics SEC · SEC-24 | Deployed | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Developed Parsing Logic for Filings SEC · SEC-25 | Deployed | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Identification of Potentially Manipulative Activity in Certain Accounts SEC · SEC-26 | Deployed | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Optical Character Recognition (OCR) for Records Analysis SEC · SEC-33 | Deployed | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Single Event Insider Trading Analysis SEC · SEC-34 | Deployed | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Utilize Westlaw Quick Check to cross check SEC documents. SEC · SEC-35 | Deployed | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Using AI Large Language Model chat for general tasks/questions SEC · SEC-38 | Deployed | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Extracting data from FOIA request forms SEC · SEC-40 | Deployed | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Using AI to answer questions about a corpus of uploaded files SEC · SEC-47 | Deployed | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Creating AI generated images SEC · SEC-49 | Deployed | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Legal Research (Lexis+) SEC · SEC-62 | Deployed | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Legal Research (Westlaw Precision) SEC · SEC-63 | Deployed | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Natural language search on images through FlashPoint SEC · SEC-64 | Deployed | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Tracing digital asset transactions and identifying entities controlling wallet addresses SEC · SEC-67 | Deployed | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Improve efficiency of comment letter ingestion SEC · SEC-68 | Deployed | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Comment Letter Review and Analysis SEC · SEC-1 | Retired | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Forms Filed SEC · SEC-2 | Retired | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Tailored Shareholder Report (TSR) SEC · SEC-3 | Retired | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Mobile Phone Artificial Intelligence Features SEC · SEC-7 | Retired | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| CF Staff Review Comments SEC · SEC-9 | Pre-deployment | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| EDGAR Filing Certification Review Solution SEC · SEC-10 | Retired | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Evaluating Cybersecurity Alerts SEC · SEC-11 | Pilot | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| EDGAR Filing Audit Report Solution SEC · SEC-12 | Retired | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| EDGAR Technical Support Public Chatbot SEC · SEC-14 | Retired | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| EDGAR Filing Signature Review Solution SEC · SEC-15 | Retired | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| EDGAR Filing Risk Disclosure Review Solution SEC · SEC-16 | Retired | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Testing Developer Workflows SEC · SEC-17 | Retired | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Identification of Potentially Manipulative Trading Activity in Registrant Data SEC · SEC-21 | Pre-deployment | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Testing of Various AI Algorithms and Models SEC · SEC-22 | Retired | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Using AI to Help with Coding-Related Tasks/Questions SEC · SEC-27 | Retired | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Augmenting cyber threat alerts on the ACES platform with ACES's specific information. SEC · SEC-36 | Pilot | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Large Language Model analysis for the Tips, Complaints and Referrals (TCR) system SEC · SEC-37 | Pre-deployment | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Agentic Knowledge Base of Amazon Web Services Cloud Environment for the Securities and Exchange Commission (ACES) SEC · SEC-39 | Pilot | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Knowledge base of federal securities law and chatbot SEC · SEC-41 | Pre-deployment | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Knowledge base of crypto comments and chatbot SEC · SEC-42 | Pre-deployment | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Create description of documents for records management in sharepoint SEC · SEC-43 | Pre-deployment | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Westlaw Co-Counsel SEC · SEC-44 | Pilot | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Lexis Protege SEC · SEC-45 | Pilot | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Semantic Layer Natural Language Query SEC · SEC-46 | Pre-deployment | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| AI Chart Generation SEC · SEC-48 | Pre-deployment | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Disclosure Review Chatbot SEC · SEC-50 | Pre-deployment | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Note-Taking Assistant SEC · SEC-51 | Pre-deployment | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Public Website Search SEC · SEC-52 | Pre-deployment | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Chatbot with SEC Documents SEC · SEC-53 | Pre-deployment | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Enhancing Analysis of SEC Web Engagement Trends Using AI SEC · SEC-54 | Pre-deployment | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Identifying Citations of SEC Publications to Measure Market Impact SEC · SEC-55 | Pre-deployment | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Analyzing Registered Offerings Data to Understand Capital Formation Trends SEC · SEC-56 | Pre-deployment | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Analyzing EDGAR Search Trends to Understand Public Interest in Filings SEC · SEC-57 | Pre-deployment | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Analyzing Form ADV Data to Identify Trends Among Investment Advisers SEC · SEC-58 | Pre-deployment | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Rule and Comment Organization and Summarization SEC · SEC-59 | Pre-deployment | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| AI-enabled information collection and curation SEC · SEC-60 | Pre-deployment | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| AI-enabled information dissemination SEC · SEC-61 | Pre-deployment | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Streamlining initial research SEC · SEC-65 | Pre-deployment | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Use natural language to query crypto market data and create on demand visualizations with prepopulated thresholds SEC · SEC-66 | Pre-deployment | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Comparing EDGAR system access request forms SEC · SEC-69 | Pre-deployment | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
Unanswered analytical questions
Generated from the data; for follow-up with agenciesThese are questions the inventory raises but cannot answer. They are not findings of non-compliance.