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Scott Diamond

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Articles

AI Prompts and Responses: Records or Not, Here We Come

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By Scott Diamond
| ABA Business Law Section Verified
Imagine: A compliance officer at a broker-dealer is asked to draft a new written supervisory procedure on reviewing securities transactions of associated persons. The compliance officer asks his personal version of ChatGPT to draft him an appropriate policy. The compliance officer then has a number of interactions with ChatGPT, and it produces a final written supervisory procedure, which is adopted by the firm.
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AI Prompts and Responses: Records or Not, Here We Come

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By Scott Diamond, McKenzie Sheridan
| American Bar Association Verified
Summary Should generative AI prompts, chatbot outputs, and related artifacts be treated as broker-dealer records under Exchange Act Rules 17a-3 and 17a-4? There are compelling arguments on both sides, including that generative AI prompts may be mere software commands, but may also function like electronic communications or internal memoranda. The SEC and FINRA have not squarely resolved the issue, leaving firms to make risk-based judgments under technology-neutral recordkeeping principles.
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DOJ Signals Intent to Appeal CIT’s IEEPA Tariff Refund Injunction After CBP Commissioner Ordered to Appear

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By David Schwartz, Scott Diamond
| Open Legal Blog Archive
In a May 29, 2026 filing, the U.S. Department of Justice (“DOJ”) indicated it planned to appeal a U.S. Court of International Trade (“CIT”) injunction requiring U.S. Customs and Border Protection (“CBP”) to refund duties collected under the International Emergency Economic Powers Act (“IEEPA”). Background On March 4, 2026, CIT Senior Judge Richard Eaton issued an injunction in Atmus Filtration v.
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