- cfonews.ai
- Regulation
- FINRA
Financial Industry Regulatory Authority: what it has published on AI
2 documents from the Financial Industry Regulatory Authority on artificial intelligence that touch disclosure, fraud, controls or finance operations, newest first, each linked to the primary page.
AllSECFINRAFedTreasuryFinCENCFTCGAO
| Date | Body | Type | Title |
|---|---|---|---|
| 2025-12-09 | FINRA | Report section | GenAI: Continuing and Emerging TrendsA section new to FINRA's 2026 Annual Regulatory Oversight Report says FINRA's rules continue to apply when firms use GenAI and that firms have started to implement GenAI with a focus on efficiency in internal processes. |
| 2024-06-27 | FINRA | Regulatory notice | FINRA Reminds Members of Regulatory Obligations When Using Generative Artificial Intelligence and Large Language ModelsRegulatory Notice 24-09 reminds member firms of their obligations when using generative AI and states that it does not create new legal or regulatory requirements. |
Type is the document's form as its own page gives it: a proposed rule, a press release, a staff advisory, a report or a speech. A later action, such as a withdrawal, is added only once its own release has been opened. A speech is one official's view, not the agency's. The checked date for each row is in the llms.txt list and the methodology explains the sources.