Free for compliance teams · 3 minutes
Ten questions mapped to the generative AI section of FINRA's 2026 Regulatory Oversight Report. Get a score now and a gap report with the fix for each gap.
The check
0 of 10 answered
01 · Supervision framework
Do your written supervisory procedures include a section that covers AI tools used with clients or prospects?
02 · Shadow AI
Do you know every AI tool your advisors use with clients or prospects today?
03 · Review and approval
Does compliance approve every script or answer a client-facing AI can say before it goes live?
04 · Recordkeeping
Are AI conversations with clients captured and retained like other business communications?
05 · Prompt and output logs
Could you show an examiner which AI model and version produced a specific response, and when?
06 · Testing
Has any client-facing AI been tested against attempts to get advice, guarantees or sensitive data out of it?
07 · Autonomy and scope
Are your AI tools technically limited in what they can do, for example unable to take orders or send data?
08 · Data sensitivity
Is there a rule and a control that keeps client data out of public AI tools?
09 · Human in the loop
Can compliance pause any AI tool immediately, firm-wide or for one advisor?
10 · Third-party vendors
Have you completed due diligence on every AI vendor in use, including model, data use and incident notice?
Answer all ten to see your score.
Why this matters now
FINRA's 2026 oversight report says its rules "continue to apply when firms use GenAI," including through third-party tools, and names six risks of AI agents: autonomy, scope and authority, auditability, data sensitivity, domain knowledge, and rewards. This check covers each of them.
For general information only. Not legal or compliance advice.