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, rather than to follow a separate AI rulebook.