FINRA's foundational artificial-intelligence guidance is Regulatory Notice 24-09 (June 27, 2024), which reminds members that FINRA rules are technology-neutral and apply to generative AI and large language models as they do to any other technology.
On July 14, 2025, FINRA published "How FINRA Member Firms Use GenAI," a resource cataloging observed use cases — with summarization and information extraction reported as the top use case. The document creates no new requirements and points back to Notice 24-09.
FINRA continued the theme with a January 2026 blog on autonomous AI agents and additional guidance on generative-AI risks such as prompt injection, available through FINRA's artificial-intelligence key-topics hub.
The 2026 Annual Regulatory Oversight Report then formalized Generative AI as a standalone section, signaling it as an examination focus area and reinforcing the need for supervision, model governance, and human oversight of AI tools.