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 apply to their use of generative AI. It names supervision (Rule 3110) and communications with the public (Rule 2210), and the same principle reaches books-and-records obligations under Rule 4511. Regulatory Notice 24-09, explained covers the Notice in full and what FINRA has said since.
The practical obligation is to extend existing supervisory and recordkeeping controls to AI tools; there is no separate AI rulebook to follow.