R0044/2026-04-01/Q001/S03/R02¶
FINRA key challenges for AI in securities
Summary¶
| Field | Value |
|---|---|
| Title | Key Challenges and Regulatory Considerations |
| URL | https://www.finra.org/rules-guidance/key-topics/fintech/report/artificial-intelligence-in-the-securities-industry/key-challenges |
| Date accessed | 2026-04-01 |
| Publication date | 2020 (updated) |
| Author(s) | FINRA |
| Publication | FINRA |
Selection Decision¶
Included in evidence base: Yes
Rationale: Primary FINRA guidance document on AI governance. Confirms financial services addresses AI risk through supervisory procedures, not system output constraints.