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Stories: Supervision

Diagram: a generative AI output such as a chatbot reply, newsletter draft or surveillance summary is classified as correspondence, a retail communication or a supervision tool, each leading to its FINRA review requirement.
FINRA ·

FINRA Generative AI Guidance: Chatbots, Supervision and Rule 2210

How FINRA's supervision and communications rules apply to chatbots, AI-drafted content and AI review tools.

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