Notice: You are viewing a detailed profile of an entity in our US Agency Mapping resource, in which we have compiled all information relevant for the regulation of advanced AI technologies in the US. To see an overview of all entities, return to the entity overview page.
Index
Department of Commerce (DoC)
International Trade Administration (ITA)
US Patent and Trade Administration (USPTO)
Bureau of Industry and Security (BIS)
National Institute of Standards and Technology (NIST)
US AI Safety Institute (USAISI)
National Telecommunication and Information Administration (NTIA)
Department of Energy (DoE)
Office of Cybersecurity, Energy Security, and Emergency Response (CESER)
Advanced Scientific Computing Research (ASCR)
Office of Critical and Emerging Technology (OCET)
Department of Homeland Security (DoHS)
Cybersecurity and & Infrastructure Security Agency (CISA)
Office of Cyber, Infrastructure, Risk, and Resilience (CIRR)
Independent Agencies
Federal Trade Commission
The FTC is an independent agency that protects consumers and promotes fair competition in the U.S. economy. Its primary function is law enforcement, but it also engages in rulemaking, research, public outreach, and education.
Lina M. Khan - Chair, Federal Trade Commission
Description
The FTC is an independent agency that protects consumers and promotes fair competition in the U.S. economy. Its primary function is law enforcement, but it also engages in rulemaking, research, public outreach, and education.
The FTC has used its existing authorities to provide guidance and propose new rules related AI. This includes topics related to competition (including hardware competition), AI-enabled fraud, open-weight foundation models, and general AI use.
The FTC has brought forth AI-related complaints. In 2021 the agency filed a complaint that led to Nvidia abandoning its proposed $40 billion acquisition of the hardware company Arm.
Authority
The following tables summarize the investigative, enforcement, and rulemaking authority of the FTC under the FTC, Clayton, and Sherman Acts.
Investigative
| Legislation/code | Authority | Description |
|---|---|---|
| FTC Act Sec. 3 and Sec. 6(a), 15 U.S.C. Sec. 43 and Sec. 46(a) | General Investigative Authority | Prosecute inquiries and investigate organizations affecting commerce |
| FTC Act Sec. 9, 15 U.S.C. Sec. 49 | Subpoenas | Require attendance, testimony, and production of documents |
| FTC Act Sec. 20, 15 U.S.C. Sec. 57b-1 | Civil Investigative Demands (CIDs) | Obtain documents, oral testimony, written reports, answers to questions, etc. |
| FTC Act Sec. 6(b), 15 U.S.C. Sec. 46(b) | Section 6(b) Orders | Require filing of reports or answers to specific questions |
| FTC Act Sec. 6(f), 15 U.S.C. Sec. 46(f) | Information Sharing | Share confidential information with other enforcement agencies |
| Clayton Act Sec. 7A, 15 U.S.C. Sec. 18a | Premerger Notification | Require notification and waiting period for covered mergers or acquisitions |
| International Antitrust Enforcement Assistance Act, 15 U.S.C. Secs. 6201 et seq. | International Antitrust Enforcement | Obtain materials for foreign antitrust authorities and seek assistance from them |
| U.S. SAFE WEB Act of 2006, FTC Act Sec. 6(j), 15 U.S.C. Sec. 46(j) | International Consumer Protection | Use investigative powers to assist foreign law enforcement in consumer protection matters |
Enforcement
| Legislation/Code | Authority | Description |
|---|---|---|
| FTC Act Sec. 5(a), 15 U.S.C. Sec. 45(a)(1) | Consumer Protection Enforcement | Prohibit unfair or deceptive acts or practices in commerce |
| FTC Act Sec. 5(a), 15 U.S.C. Sec. 45(a); Clayton Act | Competition Enforcement | Prohibit unfair methods of competition and enforce antitrust laws |
| FTC Act Sec. 5(b), 15 U.S.C. Sec. 45(b); Clayton Act Sec. 11, 15 U.S.C. Sec. 21 | Administrative Adjudication | Issue complaints, hold hearings, and issue cease and desist orders |
| FTC Act Sec. 5(l), 15 U.S.C. Sec. 45(l) | Order Enforcement | Seek civil penalties for violations of final orders |
| FTC Act Sec. 19, 15 U.S.C. Sec. 57b | Consumer Redress | Seek consumer redress in federal court after administrative order |
| FTC Act Sec. 5(m)(1)(B), 15 U.S.C. Sec. 45(m)(1)(B) | Civil Penalties Against Non-Respondents | Obtain penalties from non-respondents violating standards in final orders |
| FTC Act Sec. 13(b), 15 U.S.C. Sec. 53(b) | Judicial Enforcement | Seek preliminary and permanent injunctions in federal court |
Rulemaking
| Legislation/Code | Authority | Description |
|---|---|---|
| FTC Act Sec. 6(g), 15 U.S.C. Sec. 46 | General Rulemaking | Make rules and regulations to carry out FTC Act provisions |
| FTC Act Sec. 18, 15 U.S.C. Sec. 57a | Trade Regulation Rules | Define specific unfair or deceptive acts or practices |
| FTC Act Sec. 6(g), 15 U.S.C. Sec. 46 | Unfair Methods of Competition Rules | Address unfair methods of competition |
| FTC Act Sec. 5(m)(1)(A), 15 U.S.C. Sec. 45(m)(1)(A) | Civil Penalties for Rule Violations | Seek penalties for violations with actual or implied knowledge |
| FTC Act Sec. 19, 15 U.S.C. Sec. 57b | Consumer Redress for Rule Violations | Pursue recovery for consumer injury caused by rule violations |
| Various statutes; typically follows 5 U.S.C. Sec. 553 | Other Statutory Rulemaking | Promulgate rules under various other statutes |
Leadership
Lina M. Khan – Chair, Federal Trade Commission
Lina Khan has advocated for using open model weight foundation models to address antitrust concerns.
References
https://www.ftc.gov/about-ftc/mission/enforcement-authority
Index
Department of Commerce (DoC)
International Trade Administration (ITA)
US Patent and Trade Administration (USPTO)
Bureau of Industry and Security (BIS)
National Institute of Standards and Technology (NIST)
US AI Safety Institute (USAISI)
National Telecommunication and Information Administration (NTIA)
Department of Energy (DoE)
Office of Cybersecurity, Energy Security, and Emergency Response (CESER)
Advanced Scientific Computing Research (ASCR)
Office of Critical and Emerging Technology (OCET)
Department of Homeland Security (DoHS)
Cybersecurity and & Infrastructure Security Agency (CISA)
Office of Cyber, Infrastructure, Risk, and Resilience (CIRR)