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“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 language models (LLMs) and other generative AI (GenAI) tools.
AI technology has rapidly evolved, including the development and availability of GenAI technology capable of generating significantly better text, synthetic data, images or other media in response to prompts. LLMs are a type of GenAI that use deep learning techniques and large data sets of language to identify, summarize, predict and generate new text-based content.
FINRA’s rules—which are intended to be technology neutral—and the securities laws more generally, continue to apply when member firms use GenAI or similar technologies in the course of their businesses, just as they apply when member firms use any other technology or tool. Those rules apply whether member firms are directly developing GenAI tools for their proprietary use or when leveraging the technology of a third party, including through embedded features in existing third-party products.
As part of our FINRA Forward initiative, FINRA is also building expertise, infrastructure and capabilities in GenAI to advance our mission and perform our self-regulatory functions more effectively and efficiently. FINRA has and will continue to actively engage with member firms to understand and support their use of GenAI, including through regular Risk Monitoring outreach, discussions with our advisory committees, industry roundtables, and dedicated conference sessions and events. In turn, we share with firms what we have learned through our oversight activities and our own experiences.
FINRA's Office of General Counsel (OGC) staff provides broker-dealers, attorneys, registered representatives, investors and other interested parties with interpretative guidance relating to FINRA’s rules. Please see Interpreting FINRA Rules for more information.
Phil Shaikun
Renee Barnett
1700 K Street, NW
Washington, DC 20006
(202) 728-8000
This webpage is for informational purposes only. It does not create any new legal requirements or suggest any change in any existing regulatory obligations, nor does it provide relief from any regulatory obligations. FINRA encourages firms to conduct a comprehensive review of all applicable securities laws, rules, and regulations, as necessary, when considering adoption of new technologies.