Glossary
FINRA Regulatory Notice 24-09
FINRA's 2024 reminder that existing rules apply to generative AI.
Regulatory Notice 24-09 (2024) reminds FINRA member firms that existing rules, including supervision (Rule 3110), books-and-records (Rule 4511), and communications with the public (Rule 2210), apply to their use of generative AI.
The practical obligation is to extend existing supervisory and recordkeeping controls to AI tools; there is no separate AI rulebook to follow.