05.13.24

FINRA Clarifies Guidelines Around AI, Chatbot Communications

by: Leo Almazora

The Financial Industry Regulatory Authority (FINRA) has provided additional clarity on how it expects investment firms and their agents must handle digitally generated marketing and advertising communications, updating its guidelines to include items on the use of chatbots and artificial intelligence (AI) in communications with investors. Through two updates to its Rule 2210 Interpretive Guidance, it emphasized the need for strict oversight of chatbot interactions and AI-generated content, aligning with existing regulatory frameworks to ensure compliance and prevent misleading communications.

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