Skip to main content

Request for Comments

FINRA encourages comments on this paper, including areas where guidance or modifications to FINRA rules may be desired to support adoption of AI applications while maintaining investor protection and market integrity. Comments are requested by August 31, 2020.

Member firms and other interested parties can submit their comments using the following methods:

  • Emailing comments to [email protected]; or
  • Mailing comments in hard copy to: Marcia E. Asquith, Office of the Corporate Secretary, FINRA, 1700 K Street NW, Washington, DC 20006-1506.

To help FINRA process comments more efficiently, persons should use only one method to comment on the proposal.

Important Notes: All comments received in response to this paper will be made available to the public on the FINRA website. In general, FINRA will post comments as they are received.

Direct inquiries regarding this paper to Haimera Workie, Senior Director and Head of Office of Financial Innovation, at (202) 728-8097; or Kavita Jain, Director, Office of Financial Innovation, at (202) 728-8128.


The views, expressions, findings and opinions expressed in the comments on this Web page are solely those of the author(s) and FINRA accepts no responsibility for the content of the comments:

Date Commenter
2020-06-24 Frank Wolf
2020-08-07 EquBot
2020-08-28 Lisa Miller
2020-09-01 Eventus Systems and VoxSmart
2020-09-01 Lab49
2020-09-01 Proofpoint Digital Risk and Compliance and Compliance Customer Product Council
2020-09-03 SIFMA