AI Adoption in Practice Webinar Series

Join FINRA staff and member firms for conversations about artificial intelligence (AI) adoption in the securities industry. This virtual three-part series brings regulatory experts and practitioners together to share real experiences and practical solutions.

1. Contracts: Hear how firms are navigating consent, data usage rights and audit provisions with AI vendors, with emphasis on achieving vendor accountability while protecting firm data.
2. Implementation: Member firms share experiences bridging demo-to-production gaps, including testing, scaling and data quality challenges that emerge with real-world implementation.
3. Supervision: Practical strategies for establishing governance, controls and human-in-the-loop practices to mitigate AI risk while maintaining brand integrity.

These events are open to FINRA member firms only. Participants must provide their firm's broker-dealer number when registering.

Upcoming Webinars

On-Demand Recordings

Recordings of prior events listed below are made available to FINRA member firms and CRCP graduates.

• Contracts - March 31, 2026