What FINRA Regulatory Notice 24-09 (2024) - Member Firm Obligations on Generative AI and Large Language Models requires
FINRA Regulatory Notice 24-09 (27 June 2024) reminds FINRA member firms that existing FINRA rules continue to apply when firms develop, integrate, or deploy generative AI tools and large language models in their business…
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Pillar: AI Governance & Law · Authority: Financial Industry Regulatory Authority (FINRA); SEC Office of Compliance Inspections and Examinations (OCIE) for related risk alerts; SEC Division of Investment Management for Reg BI and adviser-side application · Version: 1.0.0 · Last updated:
Primary source: https://www.finra.org/rules-guidance/notices/24-09
SHA-256 integrity: e50dee3e9bb9c0d9d184168f5e30fd83b070007ec950b0826e57316976212b99
Primary Citations — 7 traced to source
- FINRA Regulatory Notice 24-09 - Member Firm Obligations on Generative AI and Large Language Models - issued 27 June 2024 by FINRA
- FINRA Rule 3110 (Supervision) - reasonably designed supervisory system requirement and Rule 3110(b)(7) outsourcing supervision
+ 5 more citations (full bibliography, deterministic workflow, actionable schema and crosswalks) included in the vault unlock — $0.01 via Skyfire / L402 / Direct Base USDC.
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- Discovery (free): /api/v1/nodes/us-finra-rn-24-09-2024-genai-llm-firm-supervision.json — 6-field metadata
- Vault (full node): /api/v1/vault/nodes/us-finra-rn-24-09-2024-genai-llm-firm-supervision.json — full 13-key payload, $0.01 USDC (L402/Skyfire/Direct Base)
- Canonical URL: https://bidda.com/intelligence/us-finra-rn-24-09-2024-genai-llm-firm-supervision
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