Insights

AI, governed.

Plain-English answers for compliance officers, advisors and home offices on using AI with clients under FINRA and SEC rules.

AI compliance for broker-dealers

Do FINRA rules apply to AI chatbots?

Yes. FINRA rules are technology-neutral, so AI chat with investors falls under communications, supervision and recordkeeping rules. What firms must do.

6 min read · Read ›

Recordkeeping

Are AI chat conversations books and records?

For broker-dealers and RIAs, AI chats with clients are business communications that must be archived. How SEC 17a-4, FINRA 4511 and Rule 204-2 apply.

5 min read · Read ›

Policy

How to write the AI section of your written supervisory procedures

An outline of the AI section broker-dealers and RIAs are adding to written supervisory procedures: approved tools, disclosure, limits, review and records.

7 min read · Read ›

Where does your firm stand on AI?

Ten questions, two minutes, scored against FINRA’s AI guidance. Free.

Take the AI readiness checkBook a compliance walkthrough ›