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: 23 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 | 23 | 0 | 0 | 0 | 0 | 0 | 0 | 23 | 0% | 0% of 23 |
| AI impact assessment | 23 | 0 | 0 | 0 | 0 | 0 | 0 | 23 | 0% | 0% of 23 |
| Independent review | 23 | 0 | 0 | 0 | 0 | 0 | 0 | 23 | 0% | 0% of 23 |
| Ongoing monitoring | 23 | 0 | 0 | 0 | 0 | 0 | 0 | 23 | 0% | 0% of 23 |
| Operator training | 23 | 0 | 0 | 0 | 0 | 0 | 0 | 23 | 0% | 0% of 23 |
| Fail-safe | 23 | 0 | 0 | 0 | 0 | 0 | 0 | 23 | 0% | 0% of 23 |
| Appeal process | 23 | 0 | 0 | 0 | 0 | 0 | 0 | 23 | 0% | 0% of 23 |
| User and public consultation | 23 | 0 | 0 | 0 | 0 | 0 | 0 | 23 | 0% | 0% of 23 |
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 | – | – | – | – | – | – | – | – | 23 |
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
23 records with at least one practice unanswered or in progressOpen in explorer| Use case | Stage | Test | AIA | Review | Monitor | Train | Fail-safe | Appeal | Consult |
|---|---|---|---|---|---|---|---|---|---|
| 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 |
| 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 |
| 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 |
| 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 |
| 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.